UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right-to-Buy) | 01/23/2007 | 01/23/2016 | $5 Par Common Stock | 16,000 | $ 70.055 | D | |
Employee Stock Option (Right-to-Buy) | 01/25/2008 | 01/25/2017 | $5 Par Common Stock | 14,000 | $ 72.65 | D | |
Employee Stock Option (Right-to-Buy) | 04/20/2008 | 04/20/2017 | $5 Par Common Stock | 2,400 | $ 75.85 | D | |
Employee Stock Option (Right-to-Buy) | 01/22/2009 | 01/22/2018 | $5 Par Common Stock | 16,000 | $ 57.21 | D | |
Employee Stock Option (Right-to-Buy) | 01/25/2011 | 01/25/2020 | $5 Par Common Stock | 17,000 | $ 54.01 | D | |
Employee Stock Option (Right-to-Buy) | 02/09/2012 | 02/09/2021 | $5 Par Common Stock | 18,000 | $ 64.21 | D | |
Employee Stock Option (Right-to-Buy) | 02/07/2013 | 02/07/2022 | $5 Par Common Stock | 18,000 | $ 60.7 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rockey Joseph E 249 FIFTH AVENUE MAILSTOP: P1-POPP-30-1 PITTSBURGH, PA 15222-2707 |
Executive Vice President |
Christi Davis, Attorney-in-Fact for Joseph E. Rockey | 02/09/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 6,627 shares of restricted stock that were previously granted and will vest on two different dates. 2,209 Restricted Stock Shares will vest on July 22, 2015 and 4,418 Restricted Stock Shares will vest on July 22, 2016. |
(2) | Represents restricted share units payable solely in stock. Vesting of Restricted Share Units wll take place on seven different dates. 571 shares will vest on March 7, 2015, 612 shares will vest on March 8, 2015, 571 shares will vest on March 7, 2016, 613 shares will vest on March 8, 2016, 571 shares will vest on March 7, 2017, 613 shares will vest on March 8, 2017 and 571 shares will vest on March 7, 2018. |
Remarks: See attached footnotes page. |