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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 | ||||||||
Option (right to buy) (1) | $ 24.49 | (2) | 11/18/2013 | Common Stock | 2,000 | 2,000 | D | ||||||||
Option (right to buy) (1) | $ 31.71 | (2) | 12/09/2014 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) (3) | $ 24.75 | (2) | 12/06/2012 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) (3) | $ 25.88 | (2) | 12/11/2013 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) (3) | $ 23.28 | (2) | 12/10/2014 | Common Stock | 9,620 | 9,620 | D | ||||||||
Option (right to buy) (3) | $ 7.41 | (2) | 12/08/2015 | Common Stock | 18,180 | 18,180 | D | ||||||||
Option (right to buy) (3) | $ 4.52 | 12/07/2009 | A | 18,180 | (2) | 12/06/2016 | Common Stock | 18,180 | $ 4.52 | 18,180 | D | ||||
Phantom Stock Units | (4) | 12/07/2009 | A | 16,670 (6) | (5) | (5) | Common Stock | 16,670 | $ 0 | 34,892.09 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HERNANDEZ WILLIAM H 343 STATE STREET ROCHESTER, NY 14650 |
X |
Patrick M. Sheller, as attorney in fact for William H. Hernandez | 12/09/2009 | |
**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) | Stock option granted under the 2000 Omnibus Long-Term Compensation Plan in a transaction exempt under Rule 16b-3. |
(2) | These options vest one year after the date of grant. |
(3) | Stock option granted under the 2005 Omnibus Long-Term Compensaton Plan. |
(4) | This award converts to common stock on a 1-for-1 basis. |
(5) | This date is not applicable to these units. |
(6) | Annual restricted stock equity grant. These stock units are restricted. |