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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 | ||||||||
Exchange Right (right to buy) (2) | (1) | 01/10/2006 | C | 13,500,000 (8) | (3)(4) | (5) | Common Stock | 22,524 | (6) | 130,500,000 (7) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BOSANKO MARK L 1601 WEST DIEHL ROAD NAPERVILLE, IL 60563-1198 |
GVP VP Energy Services |
/s/ Filomena Trombino as Attorney in Fact | 01/12/2006 | |
**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) | Class B units are exchangeable at a ratio of 599.365 units for each share of Nalco Holding Company common stock. |
(2) | The Reporting Person has the right to transfer his Nalco LLC class B units that have vested in exchange for shares of Nalco Holding Company common stock owned by Nalco LLC. Class B units will vest for continuing employees at certain dates and are subject to earlier vesting in some circumstances based upon reaching certain performance requirements as described in the Management Members Agreements, which are filed as Exhibits 10.30 to 10.39 to the Registration Statement on Form S-1 of Nalco Holding Company (File No. 333-118583) (the "Management Members Agreements"). |
(3) | These rights to exchange Nalco LLC units for Nalco Holding Company common stock are exercisable following the date that is the later of the date on which any applicable lock-up period pursuant to the initial public offering of Nalco Holding Company terminates and the date that is six months and one day after the date on which the class B units vest. |
(4) | Class B units will vest in five equal annual investments on each December 31, beginning on December 31, 2004, subject to certain restrictions. See the Management Members Agrements. |
(5) | Subject to the exercise of a call right, for so long as certain termination events (see the Management Members Agreements) have not occurred with respect to the Reporting Person, there is no expiration of the right to exchange Nalco LLC units for Nalco Holding Company common stock. |
(6) | Not applicable. |
(7) | Following the reported transaction, the Reporting Person owns 40,500,000 class B units, 54,000,000 class C units and 36,000,000 class D units of Nalco LLC, which have the exchange rights described herein. |
(8) | On January 10, 2006, 13,500,000 units which vested on December 31, 2005, were converted to 22,254 shares of Nalco Holding Company common stock. |