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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FANTE PETER 330 SOUTH SERVICE ROAD MELVILLE, NY 11747 |
Chief Legal Officer & CCO |
/s/ Peter D. Fante | 04/04/2012 | |
**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) | Represents the earned portion of the last 1/3 of the award, for which the performance conditions for vesting lapsed on April 2, 2012 as a result of the Company's achievement of specified performance goals for the period from February 1, 2011 through January 31, 2012 and the filing of the Company's Annual Report on Form 10-K for such period. |
(2) | Represents the earned portion of the second 1/3 of the award for which the performance conditions for vesting lapsed on April 2, 2012 as a result of the Company's achievement of specified performance goals for the period from February 1, 2011 through January 31, 2012 and the filing of the Company's Annual Report on Form 10-K for such period. The vesting of the remaining 1/3 of the award (which is not included in Table I) remains subject to the determination of the achievement of certain performance goals. |
(3) | Represents the earned portion of the first 1/3 of the award, for which the performance conditions for vesting lapsed on April 2, 2012 as a result of the Company's achievement of specified performance goals for the period from February 1, 2011 through January 31, 2012 and the filing of the Company's Annual Report on Form 10-K for such period. The vesting of the remaining 2/3 of the award (which is not included in Table I) remains subject to the determination of the achievement of certain performance goals. |
(4) | Represents the earned portion of the second 1/3 of this award that vested on April 4, 2012. The remaining tranche of this award is scheduled to vest on April 4, 2013 (and is not included in Table I). |