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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 | ||||||||
Employee Stock Option (right to buy) | $ 23.74 | 11/25/2013 | M(1) | 5,863 | (14) | 02/21/2016 | Common Stock | 5,863 | $ 0 | 47,106 | D | ||||
Employee Stock Option (right to buy) | $ 20.78 | 11/25/2013 | M(1) | 5,605 | (15) | 02/25/2018 | Common Stock | 5,605 | $ 0 | 26,622 | D | ||||
Employee Stock Option (right to buy) | $ 26.29 | 11/25/2013 | M(1) | 5,691 | (16) | 02/22/2019 | Common Stock | 5,691 | $ 0 | 18,919 | D | ||||
Employee Stock Option (right to buy) | $ 23.35 | 11/25/2013 | M(1) | 5,949 | (17) | 02/21/2020 | Common Stock | 5,949 | $ 0 | 25,454 | D | ||||
Employee Stock Option (right to buy) | $ 23.74 | 11/26/2013 | M(1) | 2,000 | (14) | 02/21/2016 | Common Stock | 2,000 | $ 0 | 45,106 | D | ||||
Employee Stock Option (right to buy) | $ 20.78 | 11/26/2013 | M(1) | 2,000 | (15) | 02/25/2018 | Common Stock | 2,000 | $ 0 | 24,622 | D | ||||
Employee Stock Option (right to buy) | $ 26.29 | 11/26/2013 | M(1) | 2,200 | (16) | 02/22/2019 | Common Stock | 2,200 | $ 0 | 16,719 | D | ||||
Employee Stock Option (right to buy) | $ 23.35 | 11/26/2013 | M(1) | 2,200 | (17) | 02/21/2020 | Common Stock | 2,200 | $ 0 | 23,254 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCARTHY KEVIN P 1 FOUNTAIN SQUARE CHATTANOOGA, TN 37402 |
EVP & Chief Operating Officer |
/s/ Jullienne, J. Paul, Attorney-in-Fact | 11/27/2013 | |
**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) | The transactions reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on August 14, 2013. |
(2) | Includes 84,727 restricted stock units, which may be settled, on a 1-for-1 basis, only in shares of common stock ("stock-settled RSUs"), and 98,129 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(3) | Beneficial ownership amount accounts for the exempt acquisitions of an aggregate of 850.056 shares of common stock and 778.319 stock-settled RSUs pursuant to the reinvestment of dividends since the date of the reporting person's prior Form 4. |
(4) | Includes 84,727 stock-settled RSUs, and 103,734 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(5) | Includes 84,727 stock-settled RSUs, and 109,425 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(6) | Includes 84,727 stock-settled RSUs, and 115,374 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(7) | Reflects weighted average price for multiple sale transactions ranging in price from $34.00 per share to $34.02 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(8) | Includes 84,727 stock-settled RSUs, and 92,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(9) | Includes 84,727 stock-settled RSUs, and 94,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(10) | Includes 84,727 stock-settled RSUs, and 96,266 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(11) | Includes 84,727 stock-settled RSUs, and 98,466 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(12) | Includes 84,727 stock-settled RSUs, and 100,666 shares of common stock. Fractional amounts have been rounded to the nearest whole number. |
(13) | Reflects weighted average price for multiple sale transactions ranging in price from $34.01 per share to $34.03 per share, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. |
(14) | The options vest in three equal annual installments beginning on February 21, 2009. |
(15) | The options vest in three equal annual installments beginning on February 25, 2011. |
(16) | The options vest in three equal annual installments beginning on February 22, 2012. |
(17) | The options vest in three equal annual installments beginning on February 21, 2013. |