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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 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 | ||||||||
Restricted Stock Units (Deferred Stock Award) 2/24/10 | (1) | 06/28/2013 | A(2) | 25 | (3) | (3) | Common Stock | 25 | $ 23.71 | 3,042 | D | ||||
Restricted Stock Units (Deferred Stock Award) 2/23/11 | (1) | 06/28/2013 | A(2) | 38 | (3) | (3) | Common Stock | 38 | $ 23.71 | 4,558 | D | ||||
Restricted Stock Units (Deferred Stock Award) 2/22/12 | (1) | 06/28/2013 | A(2) | 36 | (3) | (3) | Common Stock | 36 | $ 23.71 | 4,336 | D | ||||
Restricted Stock Units (Deferred Stock Award) 2/27/13 | (1) | 06/28/2013 | A(2) | 32 | (3) | (3) | Common Stock | 32 | $ 23.71 | 3,960 | D | ||||
RESTRICTED STOCK UNITS CUMULATIVE TOTAL | (1) | (3) | (3) | Common Stock | 15,896 (4) | 15,896 (4) | D | ||||||||
Deferred Director Fees | (1) | 06/28/2013 | A(2) | 23 | (5) | (5) | Common Stock | 23 | $ 23.71 | 2,756 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NOVICH NEIL S ONE BATESVILLE BOULEVARD BATESVILLE, IN 47006 |
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By Carol A. Roell As Attorney-In-Fact for Neil S. Novich | 07/02/2013 | |
**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) | Conversion or Exercise Price of Derivative Securities is 1-for-1. |
(2) | Restricted Stock Units are entitled to dividend equivalent rights, which accrue on dividend record dates. |
(3) | These stock units vest immediately upon grant. However, delivery of these shares will not occur until the occurrence of one of the following: a change in control of the Company; the reporting person's death or permanent and total disability, or the six-month anniversary of the date the reporting person ceases to be a director of the Company. Stock units are entitled to dividend equivalent rights, which accrue on dividend record dates. |
(4) | This amount represents cumulative total of all Restricted Stock Units (deferred stock awards) granted to reporting person. This cumulative total does not represent additional Restricted Stock Units granted to the reporting person, but is merely a total of all awards reported separately on this SEC Form 4. |
(5) | These stock units will be automatically converted into shares of stock upon the reporting person's retirement from the Board of Directors of the Company. |