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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 | ||||||||
Stock Options (Right to buy) | $ 8.75 | 08/08/2001 | 08/07/2007 | Common Stock | 10,000 | 10,000 (2) | D | ||||||||
Stock Options (Right to buy) | $ 10.52 | 03/16/2002 | 03/15/2008 | Common Stock | 15,000 | 15,000 (2) | D | ||||||||
Stock Options (Right to buy) | $ 11.4125 | 04/01/2001 | 03/31/2010 | Common Stock | 50,000 | 50,000 (2) | D | ||||||||
Stock Options (Right to buy) | $ 13.83 | 02/08/2003 | 02/07/2009 | Common Stock | 85,000 | 85,000 | D | ||||||||
Stock Options (Right to buy) | $ 13.87 | 05/04/2000 | 05/03/2006 | Common Stock | 541 | 541 (3) | D | ||||||||
2000 Emplee Stock Option (Right to Buy) | $ 9.88 | 03/18/2004 | 03/17/2013 | Common Stock | 66,667 | 66,667 (2) | D | ||||||||
2003 EIP Stock Appreciation Right | $ 10.73 | 02/13/2005 | 02/12/2014 | Common Stock | 50,000 | 50,000 | D | ||||||||
2003 EIP Stock Appreciation Right | $ 12.45 | 02/14/2006 | A | 55,000 | 02/14/2007 | 02/13/2016 | Common Stock | 55,000 | $ 0 | 55,000 (4) | D | ||||
2003 EIP Stock Appreciation Right | $ 13.44 | 02/11/2006 | 02/10/2015 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KAPUT JIM L 3250 LACEY ROAD, SUITE 600 DOWNERS GROVE, IL 60515-1700 |
Sr. VP & General Counsel |
Sandra L. Groman by power of attorney | 02/16/2006 | |
**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) | Includes 92 shares acquired through the dividend reinvestment feature of the ServiceMaster Deferred Compensation Plan during the months of July through December 2005. |
(2) | The option is exercisable in five equal annual installments beginning on the first anniversary of the date of the grant. |
(3) | In 1999, ServiceMaster entered into a joint venture with Kleiner, Perkins, Caufield & Byers to develop an Internet company, We Serve Homes.com ("WSH"). A WSH option was granted in 2000. On January 11, 2002, the WSH option was converted into a ServiceMaster option at a ratio of 55.48 to 1, pursuant to a merger with a subsidiary of ServiceMaster in a transaction exempt under Rule 16b-7. |
(4) | The stock appreciation right is exercisable in five equal annual installments beginning on the first anniversary of the date of grant. |