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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 | ||||||||
Depositary Shares (Preferred Stock, Series G) (1) (2) | (3) | 02/13/2013 | P | 100 (1) (2) | (3) | (3) | Common Stock | 863.93 | $ 143.87 | 100 (1) (2) | D | ||||
Depositary Shares (Preferred Stock, Series G) (1) (2) | (3) | 02/13/2013 | P | 580 (1) (2) | (3) | (3) | Common Stock | 5,010.794 | $ 143.97 | 680 (1) (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ISAAC WILLIAM M 38 FOUNTAIN SQUARE PLAZA MD 10AT76 CINCINNATI, OH 45263 |
X |
Paul L. Reynolds, as Attorney-in-Fact for William M. Isaac | 07/03/2013 | |
**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) | The reporting person's original Form 4 filing inadvertently reported the purchase of Depositary Shares representing Preferred Stock, Series G in Table I as a Non-Derivative security. This amendment is being filed solely to report the transaction in Table II as a purchase of a Derivative security. |
(2) | Each Depositary share represents 1/250th of an interest in a share of the Issuer's 8.50% Non-Cumulative Perpetual Convertible Preferred Stock, Series G. |
(3) | The Non-Cumulative Perpetual Convertible Preferred Stock, Series G has no expiration date and is convertible at any time, at the option of the holder, into 2,159.8272 of the Issuer's Common Stock (which reflects an initial conversion price of approximately $11.575 per common share) plus cash in lieu of fractional shares, subject to anti-dilution adjustments. In addition, the Non-Cumulative Perpetual Convertible Preferred Stock, Series G is convertible into common stock at the option of the Issuer if the closing price of the Issuer's Common Stock exceeds 130% of the applicable conversion price for 20 trading days within any period of 30 consecutive trading days. |