UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right-to-buy) | 03/24/2012(1) | 03/24/2021 | Common Stock (Direct) | 10,000 | $ 6 | D | Â |
Stock Option (right-to-buy) | 04/17/2013(2) | 04/17/2022 | Common Stock (Direct) | 40,000 | $ 6 | D | Â |
Restricted Stock Units | 06/12/2014 | Â (3) | Common Stock (Direct) | 6,000 | $ (4) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fink Nichlas A C/O ALLIANCE ONE INT'L INC. 8001 AERIAL CENTER PARKWAY MORRISVILLE, NC 27560 |
 |  |  VP- Corp. Controller & CCO |  |
LAURA D. JONES, ATTORNEY-IN-FACT | 01/08/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The shares underlying this option became exercisable one-fifth on this date, and the remaining underlying shares become exercisable one-fifth annually thereafter. |
(2) | The shares underlying this option become exercisable one-fifth on each of the five anniversaries of April 17, 2013, the date of grant, subject to continued employment or termination of employment due to retirement. |
(3) | Shares awarded under the Alliance One International, Inc. Long-Term Incentive Plan. 3-year cliff vesting: 100% at third anniversary of 6/12/14, the date of grant. |
(4) | Each restricted stock unit represents a contingent right to receive one share of Alliance One International, Inc. common stock. |