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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 | ||||||||
Stock Option (Right-to-Buy) | $ 11.65 | 08/02/2021 | J | 22,655 | (1) | 03/17/2022 | Common Stock | 22,655 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 11.09 | 08/02/2021 | J | 6,100 | (1) | 04/03/2022 | Common Stock | 6,100 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 11.09 | 08/02/2021 | J | 18,850 | (1) | 04/03/2022 | Common Stock | 18,850 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 11.05 | 08/02/2021 | J | 25,050 | (1) | 05/21/2022 | Common Stock | 25,050 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 7.34 | 08/02/2021 | M | 16,667 | 08/01/2021 | 01/25/2023 | Common Stock | 16,667 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 6.85 | 08/02/2021 | M | 41,250 | 08/01/2021 | 03/15/2023 | Common Stock | 41.25 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 4.40 | 08/02/2021 | M | 15,456 | 08/01/2021 | 03/31/2024 | Common Stock | 15,456 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 4.40 | 08/02/2021 | M | 40,794 | 08/01/2021 | 03/31/2024 | Common Stock | 40,794 | $ 0 | 0 | D | ||||
Stock Option (Right-to-Buy) | $ 3.61 | 08/02/2021 | M | 61,875 | 08/01/2021 | 03/09/2025 | Common Stock | 61,875 | $ 0 | 0 | D | ||||
Restricted Stock Units | $ 7.15 | 08/02/2021 | M | 4,579 | 08/01/2021 | 03/28/2026 | Common Stock | 4,579 | $ 0 | 0 | D | ||||
Restricted Stock Units | $ 7.15 | 08/02/2021 | M | 15,865 | 08/01/2021 | 05/06/2027 | Common Stock | 15,865 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lacey Roger HD 10900 RED CIRCLE DRIVE MINNETONKA, MN 55343 |
X | Chairman/Interim CEO |
Suzette McNally, Attorney-in-Fact for Roger H.D. Lacey | 08/04/2021 | |
**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) | As provided under the 2011 Plan and in accordance with the determinations of the Compensation Committee, all stock options outstanding on August 2, 2021 having an exercise price equal to or greater than the Fair Market Value on the August 2, 2021 closing of the E&S Sale Transaction were terminated and cancelled as of the closing date without any payment therefor |