UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option (right to buy) | Â (2) | 02/19/2024 | Common Stock | 169 | $ 64.99 | D | Â |
Stock Option (right to buy) | Â (3) | 02/18/2025 | Common Stock | 967 | $ 65.4 | D | Â |
Stock Option (right to buy) | Â (4) | 02/21/2026 | Common Stock | 1,963 | $ 45.46 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Senese Richard P 225 SOUTH SIXTH STREET 9TH FLOOR MINNEAPOLIS, MN 55402 |
 |  |  President, Capella University |  |
/s/ Kelly Jacobus, Attorney-in-Fact for Richard P. Senese | 11/18/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | 775 shares are restricted stock units, which upon vesting, will be settled in shares of CPLA common stock on a 1:1 basis. |
(2) | This option is already vested and exercisable as to 85 shares, and becomes vested and exercisable as to 42 additional shares on each of 2/20/17 and 2/20/18. |
(3) | This option is already vested and exercisable as to 242 shares, and becomes vested and exercisable as to 242 additional shares on each of 2/19/17 and 2/19/18, and becomes vested and exercisable as to 241 additional shares on 2/19/19. |
(4) | This option will become vested and exercisable in four equal, annual installments on 2/22/17, 2/22/18, 2/22/19 and 2/22/20. |