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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 | ||||||||
Restricted Stock Units | (1) | 11/08/2017 | C | 17,068 | 11/08/2017 | 11/08/2018 | Restricted Stock Units | 17,068 | $ 14.25 | 34,656 | D | ||||
Restricted Stock Units | (3) | 03/09/2015 | 03/09/2018 | Restricted Stock Units | 3,192 | 3,192 (3) | D | ||||||||
Restricted Stock Units | (4) | 03/09/2016 | 03/09/2019 | Restricted Stock Units | 8,662 | 8,662 (4) | D | ||||||||
Restricted Stock Units | (5) | 03/09/2017 | 03/09/2020 | Restricted Stock Units | 13,983 | 13,983 (5) | D | ||||||||
Restricted Stock Units | (6) | 03/01/2018 | 03/01/2021 | Restricted Stock Units | 27,790 | 27,790 (6) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Symson Adam 312 WALNUT STREET 28TH FLOOR CINCINNATI, OH 45202 |
X | President and CEO |
/s/ William Appleton, Attorney-in-fact for Adam P. Symson | 11/16/2017 | |
**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 transaction reflects the conversion of restricted stock units into Class A Common Shares on 11/08/17. |
(2) | The terms of this long-term incentive award mandate that the Company withhold shares to satisfy the reporting person's tax obligation. |
(3) | This restricted stock unit award will vest in 2018. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |
(4) | This restricted stock unit award will vest in equal parts in 2018 and 2019. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |
(5) | This restricted stock unit award will vest in equal parts in 2018, 2019 and 2020. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |
(6) | This restricted stock unit award will vest in equal parts in 2018, 2019, 2020 and 2021. Upon vesting, each restricted stock unit will convert into one Class A Common Share of the Company. |