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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Restricted Stock Units (11/13/2012) | Â | 11/16/2015 | Â | M4 | Â | 3,358 | Â (3) | Â (3) | Common Stock | $ 0 | 0 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FRANK ANDREAS G 180 N. STETSON AVE., SUITE 4100 CHICAGO, IL 60601 |
 |  |  SVP, Corporate Development |  |
/s/ Ari Mintzer as Attorney-in-Fact for Andreas Frank | 11/15/2016 | |
**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) | Restricted stock units convert into common stock on a one-for-one basis. |
(2) | This total reflects ownership as of 9/30/2016; total shares beneficially owned as reported in interim reports since 11/16/2015, if any, are deemed amended to reflect the previously unreported transaction identified in note (3) below. |
(3) | On 11/13/2012, the reporting person was granted 3,358 restricted stock units. Restricted stock units vested 100% on 11/16/2015. Restricted stock units are automatically converted into shares of common stock in accordance with the respective vesting schedule unless a pervious deferral election has been made. Restricted stock units are entitled to dividend equivalent rights, which accrue on dividend record dates. |