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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 | ||||||||
Non-Qualified Stock Option (right to buy) | $ 6.52 | 07/10/2013 | D | 57,752 | (3) | 03/26/2018 | Common Stock | 57,752 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.59 | 07/10/2013 | D | 83,008 | (3) | 02/25/2019 | Common Stock | 83,008 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 3.45 | 07/10/2013 | D | 51,137 | (5) | 03/16/2020 | Common Stock | 51,137 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.64 | 07/10/2013 | D | 10,711 | (3) | 06/17/2017 | Common Stock | 10,711 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.64 | 07/10/2013 | D | 5,355 | (3) | 06/17/2017 | Common Stock | 5,355 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.64 | 07/10/2013 | D | 15,232 | (3) | 06/17/2017 | Common Stock | 15,232 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.64 | 07/10/2013 | D | 18,340 | (3) | 06/17/2017 | Common Stock | 18,340 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.64 | 07/10/2013 | D | 22,177 | (3) | 06/17/2017 | Common Stock | 22,177 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 4.2 | 07/10/2013 | D | 109,756 | (6) | 02/23/2021 | Common Stock | 109,756 | (4) | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 2.23 | 07/10/2013 | D | 243,478 | (6) | 02/22/2022 | Common Stock | 243,478 | (4) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Alves Paget Leonard 6200 SPRINT PARKWAY OVERLAND PARK, KS 66251 |
Chief Sales Officer |
/s/ Timothy P. O'Grady Attorney-in-Fact | 07/11/2013 | |
**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) | This includes 352,555 shares and 255,076 restricted stock units that were disposed of in connection with the merger (the "Merger") of Sprint Nextel Corporation ("Old Sprint") with and into a wholly owned subsidiary of Sprint Corporation (the "Issuer"). Each share of Old Sprint common stock was disposed of for a combination of approximately $5.65 in cash and 0.2617 share of Issuer common stock, which did not begin trading on the New York Stock Exchange until July 11, 2013. All Old Sprint restricted stock units were disposed of in exchange for a number of Issuer restricted stock units that is dependent on the trading prices of common stock of the Issuer for five trading days following the effective time of the Merger (the "Reference Period"). Such number will be promptly disclosed by Issuer once it may be definitively determined. |
(2) | These shares were disposed of in connection with the Merger. Each share of Old Sprint common stock was disposed of for a combination of approximately $5.65 in cash and 0.2617 share of Issuer common stock, which did not begin trading on the New York Stock Exchange until July 11, 2013. |
(3) | Options fully vested. |
(4) | These stock options were disposed of in connection with the Merger in exchange for Issuer stock options, the terms of which are dependent on the trading prices of common stock of the Issuer for the Reference Period and will be promptly disclosed by Issuer once they may be definitely determined. |
(5) | This option grant is exercisable at the rate of 25% of the number of shares granted on each of the first four anniversaries of the grant date. |
(6) | This option grant is exercisable at the rate of 33 1/3% of the number of shares granted on each of the first three anniversaries of the grant date. |