|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Restricted Stock Units (right to buy) | (2) | 04/14/2008 | A(3) | V | 3,550 | 04/08/2012 | 04/08/2012 | Common Stock | 3,550 | $ 0 | 3,550 | D | |||
Stock Options (right to buy) | $ 29.74 | 12/10/2002(4) | 12/10/2011 | Common Stock | 10,000 | 10,000 | D | ||||||||
Stock Options (right to buy) | $ 27.245 | 04/14/2004(4) | 04/14/2013 | Common Stock | 8,000 | 8,000 | D | ||||||||
Stock Options (right to buy) | $ 26.495 | 10/12/2004(5) | 04/12/2014 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Options (right to buy) | $ 24.93 | 10/11/2005(5) | 04/11/2015 | Common Stock | 3,000 | 3,000 | D | ||||||||
Restricted Stock Units (right to buy) | (2) | 04/08/2010 | 04/08/2010 | Common Stock | 4,300 | 4,300 | D | ||||||||
Restricted Stock Units (right to buy) | (2) | 04/08/2011 | 04/08/2011 | Common Stock | 3,450 | 3,450 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MACFARLANE CHARLES S 215 S CASCADE ST FERGUS FALLS, MN 56537-2801 |
President, Otter Tail Power Co |
/s/ Charles S MacFarlane by Debra J Lill, Attorney-in-Fact | 04/16/2008 | |
**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) | Total direct holdings include shares held in the Dividend Reinvestment Plan, shares acquired through the Employee Stock Purchase Plan and shares acquired pursuant to Restricted Stock Award distributions. |
(2) | 1 -for -1 |
(3) | Restricted Stock Units acquired under the Corporation's Stock Incentive Plan. The 3,550 units were granted 4/14/2008 and vest 100% on 4/8/2012 based on continued employment and carry no voting rights or rights to dividends prior to vesting date. |
(4) | Stock options vest in cumulative annual installments of 25% beginning the date shown. |
(5) | Stock options vest 100% six months from the date of the grant. |