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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 | ||||||||
PERFORMANCE SHARES 2005 (1) | $ 0 (2) | 04/26/2005 | A | 1,722 | (1) | (1) | COMMON | 1,722 | $ 78.46 | 1,722 | D | ||||
STOCK UNITS 2005 (3) | $ 0 (2) | 04/26/2005 | A | 287 | (3) | (3) | COMMON | 287 | $ 78.46 | 287 | D | ||||
PERFORMANCE SHARES 2004 (4) | $ 0 (2) | (4) | (4) | COMMON | 1,930 | 1,930 | D | ||||||||
STOCK OPTION (5) | $ 55.25 | 04/22/1997 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 77.56 | 04/28/1998 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 60.06 | 04/27/1999 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 64 | 04/25/2000 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 64.9 | 04/24/2001 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 76.32 | 04/30/2002 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK OPTION (5) | $ 53.02 | 04/29/2003 | 04/22/2029 | COMMON | 4,000 | 4,000 | D | ||||||||
STOCK UNITS (3) | $ 0 (2) | (3) | (3) | COMMON | 322 | 322 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BURKE SHEILA P SMITHSONIAN INSTITUTION 1000 JEFFERSON DR., S.W., ROOM 219 WASHINGTON, DC 20560 |
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By: Patricia S. Tomczyk, POA | 04/28/2005 | |
**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) | Represents 200% of the target performance share award, which is the maximum number of shares issuable under this award for the performance cycle ending December 31, 2007. |
(2) | Variable Pricing |
(3) | Stock Units vest on the grant date and are payable in stock at the earlier of the third anniversary of the grant or termination of service as a director, unless subject to a deferral election. |
(4) | Represents 200% of the target performance share award, which is the maximum number of shares issuable under this award for the performance cycle ending December 31, 2006. |
(5) | All Stock Options are granted in tandem with tax withholding rights. |