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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 Options | $ 2.25 | 11/05/2008 | D(1) | 30,000 | (1) | 09/29/2009 | Common Stock | 30,000 | (1) | 0 | D | ||||
Employee Stock Options | $ 2.25 | 11/05/2008 | A(1) | 30,000 | (1) | 11/05/2013 | Common Stock | 30,000 | (1) | 30,000 | D | ||||
Employee Stock Options | $ 2.65 | 11/05/2008 | D(2) | 5,000 | (2) | 01/12/2010 | Common Stock | 5,000 | (2) | 0 | D | ||||
Employee Stock Options | $ 2.65 | 11/05/2008 | A(2) | 5,000 | (2) | 11/05/2013 | Common Stock | 5,000 | (2) | 5,000 | D | ||||
Employee Stock Options | $ 2 | 11/05/2008 | D(3) | 25,000 | (3) | 11/08/2010 | Common Stock | 25,000 | (3) | 0 | D | ||||
Employee Stock Options | $ 2 | 11/05/2008 | A(3) | 25,000 | (3) | 11/05/2013 | Common Stock | 25,000 | (3) | 25,000 | D | ||||
Employee Stock Options | $ 3.11 | 11/05/2008 | D(4) | 25,000 | (4) | 11/07/2011 | Common Stock | 25,000 | (4) | 0 | D | ||||
Employee Stock Options | $ 3.11 | 11/05/2008 | A(4) | 25,000 | (4) | 11/05/2013 | Common Stock | 25,000 | (4) | 25,000 | D | ||||
Employee Stock Options | $ 4.57 | 11/05/2008 | D(5) | 32,000 | (5) | 11/07/2012 | Common Stock | 32,000 | (5) | 0 | D | ||||
Employee Stock Options | $ 4.57 | 11/05/2008 | A(5) | 32,000 | (5) | 11/05/2013 | Common Stock | 32,000 | (5) | 32,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KOEPPE PAUL F 2825 BREWERY RD CROSS PLAINS, WI 53528 |
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/s/ Paul Koeppe | 11/07/2008 | |
**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 two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on September 29, 2004 and provides for vesting in three equal annual installments commencing on September 29, 2005. |
(2) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on January 12, 2005 and were immediatly vested upon grant. |
(3) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 8, 2005 and 2,083 vested one month from the grant date and the remaining 22,917 vested one year from the grant date. |
(4) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 7, 2006 and vested one year from grant date. |
(5) | The two reported transactions involved an amendment of an outstanding option, resulting in the deemed cancellation of the "old" option and the grant of a replacement option. The option was originally granted on November 6, 2007 and vested one year from grant date. |