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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 | ||||||||
Option, Right to Buy | $ 30.71 | 08/03/2018 | M(3) | 2,102,216 | (4) | 08/04/2018 | Common Stock | 2,102,216 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Montag Thomas K. 100 NORTH TRYON STREET CHARLOTTE, NC 28255 |
Chief Operating Officer |
Thomas K. Montag/Natalie A. Hyman POA | 08/07/2018 | |
**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) | 152,777 shares were distributed to the reporting person as an annuity payment from the 2016 GRAT on May 23, 2018 and are reported on this Form 4 as directly owned; the remaining 341,337 shares from the 2016 GRAT were distributed on May 24, 2018 to the Family Trust. |
(2) | Represents previously owned shares tendered by the reporting person to the issuer in payment of the option exercise price plus a disposition of shares to the issuer to satisfy a tax withholding obligation. The reporting person received 24,964 shares net of such withholding. |
(3) | Option exercise effected under a written plan established May 18, 2018, pursuant to the requirements of Rule 10b5-1 under the Securities Exchange Act of 1934, as amended. |
(4) | These options vested and became exercisable as follows: 714,754 on February 4, 2009, and 693,731 on each of January 1, 2010 and January 1, 2011. All options had an expiration date of August 4, 2018. |