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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 | ||||||||
| Employee Stock Option (Right to buy) | $ 42.12 | 03/06/2013 | M | 6,236 | 02/12/2010(4) | 02/12/2019 | Common Stock | 6,236 | $ 0 | 0 | D | ||||
| Employee Stock Option (Right to buy) | $ 41.58 | 03/06/2013 | M | 10,877 | 02/11/2011(4) | 02/11/2020 | Common Stock | 10,877 | $ 0 | 10,874 | D | ||||
| Employee Stock Option (Right to buy) | $ 48.36 | 02/14/2009(4) | 02/14/2018 | Common Stock | 30,184 | 30,184 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 49.4 | 02/10/2012(4) | 02/10/2021 | Common Stock | 26,465 | 26,465 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 52.73 | 12/07/2007(4) | 12/07/2016 | Common Stock | 11,304 | 11,304 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 53.24 | 02/09/2013(4) | 02/09/2022 | Common Stock | 31,377 | 31,377 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 54.85 | 12/07/2006(4) | 12/07/2015 | Common Stock | 12,364 | 12,364 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 58.65 | 05/17/2008(4) | 05/17/2017 | Common Stock | 14,044 | 14,044 | D | ||||||||
| Employee Stock Option (Right to buy) | $ 56 | 02/14/2014(4) | 02/14/2023 | Common Stock | 35,553 | 35,553 | D | ||||||||
| Performance Rights | $ 0 (5) | 01/01/2016(5) | 06/30/2016 | Common Stock | 12,600 | 12,600 | D | ||||||||
| Performance Rights | $ 0 (5) | 01/01/2014(5) | 06/30/2014 | Common Stock | 9,298 | 9,298 | D | ||||||||
| Performance Rights | $ 0 (5) | 01/01/2015(5) | 06/30/2015 | Common Stock | 10,582 | 10,582 | D | ||||||||
| Phantom Stock Unit | (6) | (7) | (7) | Common Stock | 26,913.1637 | 26,913.1637 | D | ||||||||
| Restricted Stock Units 2010 | (8) | 02/11/2011 | 02/11/2014 | Common Stock | 1,093.8539 | 1,093.8539 | D | ||||||||
| Restricted Stock Units 2011 | (8) | 02/10/2012 | 02/10/2015 | Common Stock | 1,906.2622 | 1,906.2622 | D | ||||||||
| Restricted Stock Units 2012 | (8) | 02/09/2013 | 02/09/2016 | Common Stock | 2,844.4783 | 2,844.4783 | D | ||||||||
| Restricted Stock Units 2013 | (8) | 02/14/2014 | 02/14/2017 | Common Stock | 3,591 | 3,591 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| BORGARD LAWRENCE T 700 NORTH ADAMS STREET P. O. BOX 19001 GREEN BAY, WI 54307-9001 |
President & COO - Utilities | |||
| Jodi J. Caro, as Power of Attorney for Mr. Borgard | 03/08/2013 | |
| **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) | Balance also reflects the transfer of 12,177 shares to the Borgard Revocable Trust on March 4, 2013. The 12,177 shares were subsequently sold. |
| (2) | The weighted average sale price reflects multiple transactions at prices ranging from $56.75 - $57.17. |
| (3) | The weighted average sale price reflects multiple transactions at prices ranging from $56.75 - $56.82. |
| (4) | The option vests in four equal annual installments beginning on the exercisable date. |
| (5) | Performance stock rights represent the right to receive shares of common stock of the Company, in the event certain performance goals are satisfied. These goals are based on Company performance against an established industry benchmark, over a three year performance period. The final award of shares issued can be between 0% and 200% of the reported target award. |
| (6) | These phantom stock units convert to common stock on a one-for-one basis. |
| (7) | Upon retirement or termination of service, distribution of phantom stock units will commence in January of the year that is both (1) following the calendar year in which service terminates with the Company, and (2) at least six months following termination, or later if the participant selected a later date. |
| (8) | Each restricted stock unit represent a contingent right to receive one share of Company common stock. The restricted stock units vest in four equal annual installments beginning on the exercisable date. |