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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 | ||||||||
Stock Option (right to buy) | $ 21.66 | 08/16/2013 | M | 1,000 | (9) | 02/20/2014 | Common Stock | 1,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CONNER DAVID E 118 SECOND AVENUE SE P.O. BOX 73909 CEDAR RAPIDS, IA 52407-3909 |
VP/Chief Claims Officer |
/s/ David E. Conner by Dianne M. Lyons, Attorney-in-Fact | 08/20/2013 | |
**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) | This transaction represents the exercise and sale of vested, non-qualified stock options under a pre-approved 10b5-1 trading plan. |
(2) | The total number of securities beneficially held directly by the Reporting Person following the reported transaction includes: 1,796 shares held by Mr. Conner directly; 1,875 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/18/2016 and 1,334 shares of restricted stock issued under the Issuer's 2008 Stock Plan which vest, subject to certain conditions, on 02/15/2018. |
(3) | The deemed execution date of this transaction is the settlement date as provided by the Issuer's 401(k) Plan trustee/administrator. |
(4) | Shares acquired through payroll deduction and participation in Issuer's 401(k) Plan. |
(5) | This transaction qualifies as a non-discretionary transaction from a tax-qualified plan and is voluntarily reported on Form 4. |
(6) | Represents the approximate number of shares (excluding frationals) acquired by the trustee/administrator of the Issuer's 401(k) Plan for the Reporting Person's benefit, based on a statement of the trustee/administrator. |
(7) | The price per share is based on a statement provided by the Issuer's 401(k) Plan trustee/administrator. |
(8) | Th number of securities shown as being held in, acquired by or disposed of by the Issuer's 401(k) account for the Reporting Person's benefit is the approximate number of shares of common stock (excluding frationals) for which the Reporting Person 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 Issuer common stock, together with a small percentage of short-term investments. Participants acquire units of this fund. |
(9) | All options currently exercisable. |
Remarks: This amended filing is being made to correct an error in the number of shares acquired upon exercise of vested, non-qualified stock options by the Reporting Person contained in the original report. |