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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 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 NQ Stock Option | $ 3.06 | 07/17/2017 | A | 100,000 | (3) | 07/17/2024 | Class A Common Stock | 100,000 | $ 0 | 100,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brady Matthew B 750 N COMMONS DR AURORA, IL 60504 |
President & CEO |
/s/ Jeniffer Jaynes, by power of attorney | 07/19/2017 | |
**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 Compensation Committee approved an award of restricted stock units (RSUs) pursuant to the 2015 Omnibus Incentive Compensation Plan. The RSUs vest 33% annually beginning on July 17, 2018 and for each of the following two years concluding on July 17, 2020. Upon vesting, the RSUs convert into shares of Class A Common Stock on a one-for-one basis. |
(2) | The Compensation Committee approved a performance-based award of restricted stock units (PSUs) pursuant to the 2015 Omnibus Incentive Compensation Plan. The reported amount is the target award (which assumes performance at the target level would convert into shares of Class A Common Stock on a one-for-one basis). The actual number of shares of Class A Common Stock earned can vary from 0% to 100% of the target based upon achievement of certain performance metrics in the second, third, fourth, and combined second through fourth quarters of fiscal year 2018 to pre-established performance goals approved by the Compensation Committee, and are also subject to a one year time-based vesting period, subject to continued employment. |
(3) | The Compensation Committee approved an award of non-qualified stock options pursuant to the 2015 Omnibus Incentive Compensation Plan. The options vest 33% annually beginning on July 17, 2018 and for each of the following two years concluding on July 17, 2020. |