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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 | |
Harvey Joseph M COHEN & STEERS, INC. 280 PARK AVENUE NEW YORK, NY 10017 |
President |
Lawrence B. Stoller, Attorney-in-fact for Joseph Harvey | 01/30/2007 | |
**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) | Includes 10,401 restricted stock units (RSUs) that vest ratably over five years. Also includes 21,843 RSUs mandatorily deferred by the Company from Mr. Harvey's annual discretionary bonus, plus 5,460 RSUs granted to Mr. Harvey as a Company match on his mandatory bonus deferral. These RSUs will generally vest ratably over four years. Also includes 13,001 RSUs voluntarily deferred by Mr. Harvey from his annual discretionary bonus, plus 3,250 RSUs granted to Mr. harvey as a Company match on his voluntary bonus deferral. These RSUs will generally be delivered on the third anniversary of grant. |
(2) | Includes a total of 4,355 shares of common stock acquired pursuant to the Company's 2004 Employee Stock Purchase Plan. Also includes 2,543 total RSUs acquired pursuant to a dividend reinvestment feature under the Company's 2004 Stock Incentive Plan. |