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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option to Purchase Common Stock | $ 53.8 | 02/28/2008 | D | 21,251 | (1) | 06/27/2012 | Common Stock | 21,251 | $ 105 | 0 | D | ||||
Option to Purchase Common Stock | $ 56.49 | 02/28/2008 | D | 1,250 | (1) | 06/28/2012 | Common Stock | 1,250 | $ 105 | 0 | D | ||||
Option to Purchase Common Stock | $ 59.31 | 02/28/2008 | D | 1,251 | (1) | 06/28/2012 | Common Stock | 1,251 | $ 105 | 0 | D | ||||
Option to Purchase Common Stock | $ 62.28 | 02/28/2008 | D | 1,250 | (1) | 06/28/2012 | Common Stock | 1,250 | $ 105 | 0 | D | ||||
Stock Appreciation Right | $ 26.15 | 02/28/2008 | D | 5,000 | (2) | 08/01/2012 | Common Stock | 5,000 | $ 53.8 (3) | 0 | D | ||||
Stock Appreciation Right | $ 27.45 | 02/28/2008 | D | 5,000 | (2) | 08/01/2012 | Common Stock | 5,000 | $ 53.8 (3) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Subbotin Alexey 2831 29TH STREET, NW WASHINGTON, DC 20008 |
Director, Investor Relations |
/s/ Alexey Subbotin | 03/05/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | This option, which was originally to have vested annually over a three year period, was cancelled pursuant to a merger agreement between the issuer and a wholly owned subsidiary of VimpelCom Finance B.V. (referred to below as "the merger agreement") in exchange for the right to receive an amount in cash equal to $105.00 minus the exercise price of the option, and multiplied by the number of shares subject to the option. Amounts in respect of the vested portion of the option were paid immediately, and amounts in respect of the unvested portion of the option are to be paid at such time as the option would have vested, subject to continued employment on such date. |
(2) | This stock appreciation right, 75% of which was originally to have vested subject to time vesting over a three year period and 25% of which was originally to have vested subject to performance vesting such that when the Company's share price reached a certain target the stock appreciation right would vest, was cancelled pursuant to the merger agreement in exchange for the right to receive an amount in cash equal to $53.80 minus the base price of the stock appreciation right, and multiplied by the number of shares subject to the option. Amounts in respect of the vested portion of the stock appreciation right were paid immediately, and amounts in respect of the unvested portion of the stock appreciation right are to be paid at such time as the stock appreciation right would have vested, subject to continued employment on such date. |
(3) | The amount listed on the original Form 4 filing was incorrect. We are filing this amendment to correct it to $53.80 instead of $105.00. |