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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 | ||||||||
Option to Buy | $ 11.68 | (3) | 11/14/2011 | Common Shares | 2,813 | 2,813 | D | ||||||||
Option to Buy | $ 9.96 | (4) | 10/27/2014 | Common Shares | 20,000 | 20,000 | D | ||||||||
Option to Buy | $ 17.6 | (5) | 08/24/2016 | Common Shares | 20,000 | 20,000 | D | ||||||||
Option to Buy | $ 19.76 | (6) | 08/24/2017 | Common Shares | 25,000 | 25,000 | D | ||||||||
Option to Buy | $ 8.98 | (7) | 08/22/2018 | Common Shares | 30,000 | 30,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCCAULEY DAVID 9260 PLEASANTWOOD AVENUE NORTH CANTON, OH 44720 |
President - LSI Graphics |
Mark A. Weiss, Attorney-in-Fact for David McCauley | 08/27/2008 | |
**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) | Common Shares held in the LSI Industries Inc. Non-Qualified Deferred Compensation Plan. |
(2) | Shares owned by David McCauley and held in escrow as security for certain liabilities and obligations pursuant to the agreements under which his company was acquired by LSI Industries Inc. As a registered owner of these shares, David McCauley has the power to vote the shares held in escrow but no authority to dispose of the shares. The shares are to be released from escrow under the terms of the agreements. |
(3) | Options granted pursuant to the Company's Incentive Stock Option Plans November 14, 2001. Options vest 25% a year commencing on the first anniversary of the date of grant. |
(4) | Options granted vest on the anniversary of the grant date, 25% per year, cumulative, beginning October 27, 2005. |
(5) | The options vest in equal annual amounts of 25% per year beginning on August 24, 2007. |
(6) | The options vest in equal annual amounts of 25% per year beginning on August 24, 2008. |
(7) | The option vests in equal annual amounts of 25% per year beginning on August 22, 2009. |