4//SEC Filing
LEXMARK INTERNATIONAL INC /KY/ 4
Accession 0001225208-16-042454
CIK 0001001288operating
Filed
Nov 30, 7:00 PM ET
Accepted
Dec 1, 1:16 PM ET
Size
23.0 KB
Accession
0001225208-16-042454
Insider Transaction Report
Form 4
ROOKE PAUL A
Executive Vice President
Transactions
- Disposition to Issuer
Class A Common Stock
2016-11-29−669.428→ 0 total(indirect: By 401(k)) - Disposition to Issuer
Employee Stock Option
2016-11-29−25,000→ 0 totalExercise: $42.21From: 2008-07-26Exp: 2017-07-26→ Class A Common Stock (25,000 underlying) - Disposition to Issuer
Deferred Stock Units
2016-11-29−58,703→ 0 total→ Class A Common Stock (58,703 underlying) - Disposition to Issuer
Employee Stock Option
2016-11-29−60,000→ 0 totalExercise: $37.71From: 2011-10-26Exp: 2020-10-26→ Class A Common Stock (60,000 underlying) - Disposition to Issuer
Class A Common Stock
2016-11-29−156,836→ 0 total - Disposition to Issuer
Employee Stock Option
2016-11-29−46,000→ 0 totalExercise: $33.26From: 2009-02-20Exp: 2018-02-20→ Class A Common Stock (46,000 underlying) - Disposition to Issuer
Employee Stock Option
2016-11-29−45,000→ 0 totalExercise: $63.11From: 2008-02-21Exp: 2017-02-21→ Class A Common Stock (45,000 underlying) - Disposition to Issuer
Class A Common Stock
2016-11-29−267,070→ 0 total(indirect: By Trust) - Disposition to Issuer
Employee Stock Option
2016-11-29−172,000→ 0 totalExercise: $17.12From: 2011-05-15Exp: 2019-05-15→ Class A Common Stock (172,000 underlying)
Footnotes (7)
- [F1]Represents shares of Class A Common Stock and restricted stock units, including associated dividend equivalent units, disposed of pursuant to the agreement and plan of merger (the "Merger Agreement") by and among the issuer, Ninestar Holdings Company Limited, Ninestar Group Company Limited, Ninestar Lexmark Company Limited and Apex Technology Co., Ltd. in exchange for $40.50 cash per share, without interest and less any applicable withholding taxes.
- [F2]Represents deferred stock units, including associated dividend equivalent units, disposed of pursuant to the Merger Agreement in exchange for $40.50 cash per share, without interest and less any applicable withholding taxes.
- [F3]Pursuant to the Merger Agreement, this option, which vested and became exercisable in three approximately equal annual installments (34%, 33% and 33%) commencing on February 20, 2009, was cancelled in exchange for a cash payment equal to the product of (a) the total number of shares of common stock subject to that option, multiplied by (b) the excess of $40.50 over the exercise price of such option, without interest and less any applicable withholding taxes.
- [F4]Pursuant to the Merger Agreement, this option, which vested and became exercisable in three approximately equal annual installments (34%, 34% and 33%), commencing on February 21, 2008, was cancelled without payment because the exercise price of the option exceeded the merger consideration of $40.50 per share.
- [F5]Pursuant to the Merger Agreement, this option, which vested and became exercisable 34% on May 15, 2011, 33% on May 15, 2013 and 33% on May 15, 2015, was cancelled in exchange for a cash payment equal to the product of (a) the total number of shares of common stock subject to that option, multiplied by (b) the excess of $40.50 over the exercise price of such option, without interest and less any applicable withholding taxes.
- [F6]Pursuant to the Merger Agreement, this option, which vested and became exercisable in three approximately equal annual installments (34%, 34% and 33%), commencing on July 26, 2008, was cancelled without payment because the exercise price of the option exceeded the merger consideration of $40.50 per share.
- [F7]Pursuant to the Merger Agreement, this option, which vested and became exercisable in four equal annual installments commencing on October 26, 2011, was cancelled in exchange for a cash payment equal to the product of (a) the total number of shares of common stock subject to that option, multiplied by (b) the excess of $40.50 over the exercise price of such option, without interest and less any applicable withholding taxes.
Documents
Issuer
LEXMARK INTERNATIONAL INC /KY/
CIK 0001001288
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0001001288
Filing Metadata
- Form type
- 4
- Filed
- Nov 30, 7:00 PM ET
- Accepted
- Dec 1, 1:16 PM ET
- Size
- 23.0 KB