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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Last Will & Testament of John Q. Sherman fbo William Patrick Sherman 147 BEVERLY PLACE DAYTON, OH 45419 |
X | |||
Last Will & Testament of John Q. Sherman fbo Charles Francis Sherman 147 BEVERLY PLACE DAYTON, OH 45419 |
X | |||
Last Will & Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg 147 BEVERLY PLACE DAYTON, OH 45419 |
X | |||
Last Will & Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley 147 BEVERLY PLACE DAYTON, OH 45419 |
X | |||
Last Will & Testament of John Q. Sherman fbo Helen Louise Sherman Tormey 147 BEVERLY PLACE DAYTON, OH 45419 |
X | |||
Last Will & Testament of John Q. Sherman fbo James Louis Sherman 147 BEVERLY PLACE DAYTON, OH 45419 |
X |
Arthur F. McMahon, III, attorney-in-fact | 03/28/2014 | |
**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) | On February 26, 2014, each of the John Q. Sherman Trusts (as defined below) entered into a separate Rule 10b5-1 trading plan. Each sale reported in this Form 4 was effected pursuant to the applicable trust's Rule 10b5-1 trading plan. |
(2) | These securities are owned solely by the trust established under the Last Will and Testament of John Q. Sherman fbo William Patrick Sherman, which may be deemed to be a member of a "group" for purposes of Section 13(d) under the Exchange Act with the trust established under the Last Will and Testament of John Q. Sherman fbo Helen Louise Sherman Tormey, the trust established under the Last Will and Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley, the trust established under the Last Will and Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg, the trust established under the Last Will and Testament of John Q. Sherman fbo Charles Francis Sherman, and the trust established under the Last Will and Testament of John Q. Sherman fbo James Louis Sherman. These six trusts are sometimes referred to collectively in this Form 4 as the "John Q. Sherman Trusts". |
(3) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo William Patrick Sherman. |
(4) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Helen Louise Sherman Tormey. |
(5) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Patricia Lucille Sherman Begley. |
(6) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Mary Catherine Sherman Newshawg. |
(7) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo Charles Francis Sherman. |
(8) | These securities are owned solely by the Last Will and Testament of John Q. Sherman fbo James Louis Sherman. |