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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 12.95 | 12/07/2007(3) | 12/07/2013 | Common Stock | 16,500 | 16,500 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 12.34 | 12/07/2008(3) | 12/07/2014 | Common Stock | 13,350 | 13,350 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 4.99 | 12/05/2009(3) | 12/05/2015 | Common Stock | 46,200 | 46,200 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 6.2873 | 09/11/2010(4) | 09/11/2016 | Common Stock | 10,000 | 10,000 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 8.71 | 12/10/2011(4) | 12/10/2017 | Common Stock | 16,667 | 16,667 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.3 | 01/06/2013(4) | 01/06/2019 | Common Stock | 46,667 | 46,667 | D | ||||||||
Employee Stock Option (Right to Buy) | $ 7.42 | 12/14/2012 | A | 33,333 | 12/14/2013(4) | 12/13/2019 | Common Stock | 33,333 | $ 0 | 33,333 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
IVERSON KATHLEEN P 5900 GOLDEN HILLS DRIVE GOLDEN VALLEY, MN 55416 |
X | President & CEO |
Kathleen P. Iverson | 12/17/2012 | |
**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) | Includes (a) 1,388 restricted stock units that vest in increments of 694 shares on each of December 10, 2013 and 2014; (b) 7,778 restricted stock units that vest in increments of 1,944 shares on each of January 6, 2012 and 2013 and in increments of 1,945 shares on each of January 6, 2014 and 2015; and (c) 5,556 restricted stock units that vest in increments of 1,389 shares on each of December 14, 2013, 2014, 2015 and 2016. |
(2) | As custodian for minor child under the Uniform Transfers to Minors Act. |
(3) | Fully exercisable. |
(4) | Exercisable with respect to 25% of such shares on such date and with respect to an additional cumulative 25% of such shares on the next three anniversaries of such date. |