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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 | |
KRAEUTLER JOHN A 3471 RIVER HILLS DRIVE CINCINNATI, OH 45244 |
X | Chief Executive Officer |
/s/ Melissa Lueke as Attorney-in-fact for John A. Kraeutler | 10/04/2010 | |
**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) | As a result of technological limitations of the EDGAR system, this Form 4 is being filed in two parts: this current report and another Form 4 of the reporting party filed on the same date. To minimize confusion, only the current report includes the information in Table II. As such, both this Form and the other Form 4 of the reporting party filed on the same date should be read in tandem. |
(2) | As a result of technological limitations of the EDGAR system, this Form 4 is being filed in two parts: this current report and another Form 4 of the reporting party filed on the same date. To minimize confusion, only the other report of the reporting party filed on the same date includes the information in Table II. As such, both this Form and the other Form 4 of the reporting party filed on the same date should be read in tandem. |
(3) | As previously disclosed on the original Form 4, these restricted shares were granted under the 2004 Equity Compensation Plan and were subject to attainment by the Company of a Net Earnings target for fiscal 2009. As the Company did not reach the target, these restricted shares have been cancelled. |
(4) | This amended Form 4 is being filed to report that while these restricted shares, which were awarded under the 2004 Equity Compensation Plan, originally were reported as being subject to attainment by the Company of a Net Earnings target for fiscal 2010, on September 30, 2010, the Compensation Committee of the Board of Directors converted these shares to time-vested shares with four-year cliff vesting. Like the shares noted in Footnote (5), these shares will vest in full (or 100%) on November 12, 2013. |
(5) | As previously disclosed on the original Form 4, these restricted shares are awarded under the 2004 Equity Compensation Plan and vest in full (or 100%) on November 12, 2013. |