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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 | ||||||||
Incentive Stock Option (right to buy) | $ 23 | 03/12/1999(3) | 03/12/2009 | Common Stock | 10,000 | 10,000 | D | ||||||||
Incentive Stock Option (right to buy) | $ 19.75 | 04/25/2000(4) | 04/25/2010 | Common Stock | 13,250 | 13,250 | D | ||||||||
Incentive Stock Option (right to buy) | $ 13.75 | 05/30/2003 | 05/30/2012 | Common Stock | 2,624 | 2,624 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 13.75 | 05/30/2003 | 05/30/2012 | Common Stock | 7,376 | 7,376 | D | ||||||||
Incentive Stock Option (right to buy) | $ 22.81 | 06/05/2003(5) | 06/05/2013 | Common Stock | 14,734 | 14,734 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 22.81 | 06/05/2003(6) | 06/05/2013 | Common Stock | 10,266 | 10,266 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 32.26 | 11/25/2005 | 05/10/2014 | Common Stock | 30,000 | 30,000 | D | ||||||||
Nonqualified Stock Option (right to buy) | $ 50.84 | 03/25/2005(7) | 03/25/2015 | Common Stock | 21,068 | 21,068 | D | ||||||||
Incentive Stock Option (right to buy) | $ 50.84 | 03/25/2005(8) | 03/25/2015 | Common Stock | 3,932 | 3,932 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BURROWS JAMES C 200 CLARENDON STREET, T-33 BOSTON, MA 02116 |
X | President and CEO |
Delia J. Makhlouta, by power of attorney | 01/24/2007 | |
**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 sale was effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person. |
(2) | Represents shares held by the James C. Burrows Irrevocable Trust 1998, Art. Second for the benefit of certain members of Dr. Burrows' immediate family. Dr. Burrows disclaims beneficial ownership of the shares held by the Trust. |
(3) | Date indicated is date of grant. The option vests over three years, as follows: 4,347 shares vest on the date of grant, 4,347 shares vest on the first anniversary of the date of grant and 1,306 shares vest on the second anniversary of the date of grant. |
(4) | Date indicated is date of grant. The option vests over four years, as follows: 3,542 shares vest on the first anniversary of the date of grant and 3,236 shares vest on each of the second, third and fourth anniversaries of the date of grant. |
(5) | Date indicated is date of grant. The option vests over four years, as follows: 1,582 shares vest on the first anniversary of the date of grant and 4,384 shares vest on each of the second, third and fourth anniversaries of the date of grant. |
(6) | Date indicated is date of grant. The option vests over four years, as follows: 4,668 shares vest on the first anniversary of the date of grant and 1,866 shares vest on each of the second, third and fourth anniversaries of the date of grant. |
(7) | Date indicated is date of grant. The option vests over four years, as follows: 6,250 shares vest on each of the first and second anniversaries of the date of grant and 4,284 shares vest on the third and fourth anniversaries of the date of grant. |
(8) | Date indicated is date of grant. 1,966 shares vest on each of the third and fourth anniversaries of the date of grant. |