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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 | |
ERNST BARRIE W 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
VP/Chief Investment Officer |
/a/ Barrie W. Ernst | 05/06/2009 | |
**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) | On December 19, 2008, the individual retirement account for the benefit of Mr. Ernst's spouse sold 500 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled |
(2) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and approximately 4,231 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement from the trustee. |
(3) | The number of securities shown as being held in the Company 401(k) account for Mr. Ernst's benefit is the approximate number of shares of common stock for which Mr. Ernst has the right to direct the vote under the 401(k) plan. Such shares are not directly allocated to plan participants, but are instead held in a unitized fund consisting primarily of common stock, together with a small percentage of short-term investments. Participants acquire units of this fund. |
(4) | On December 19, 2008, Mr. Ernst, as custodian for his daughter, sold 200 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled, effective as of December 19, 2008. |
(5) | The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; 200 shares held as custodian for Mr. Ernst's daughter; and approximately 4,231 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement from the trustee. |
Remarks: This amendment is filed to report the cancellation of two sale transactions that originally occurred on December 19, 2008. This amendment also explains the unitized nature of the shares held for Mr. Ernst's benefit in the Company 401(k) account and discloses the approximate number of shares of common stock beneficially owned after the reported transactions, instead of disclosing the number of unitized shares. |