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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 | ||||||||
NQ Stock Option (Right to Buy) | $ 5.85 | 10/20/2004 | 11/19/2013 | Common Stock | 13,812 | 13,812 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 6.38 | 01/21/2004 | 02/20/2013 | Common Stock | 5,690 | 5,690 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 7.25 | 10/22/2003 | 10/22/2012 | Common Stock | 7,132 | 7,132 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 7.92 | 10/23/2002 | 11/22/2011 | Common Stock | 10,000 | 10,000 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 8.1562 | 10/31/2001 | 11/30/2010 | Common Stock | 20,000 | 20,000 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 8.343 | 10/19/2000 | 11/19/2009 | Common Stock | 40,473 | 40,473 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 11.24 | 11/23/2005 | 12/22/2014 | Common Stock | 25,000 | 25,000 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 12.92 | 02/23/2006 | 03/22/2015 | Common Stock | 21,000 | 21,000 | D | ||||||||
NQ Stock Option (Right to Buy) | $ 14.3438 | 08/04/1999 | 11/14/2008 | Common Stock | 727 | 727 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 5.85 | 10/20/2004 | 10/19/2013 | Common Stock | 6,188 | 6,188 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 6.38 | 01/21/2004 | 01/21/2013 | Common Stock | 24,310 | 24,310 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 7.25 | 10/22/2003 | 10/22/2012 | Common Stock | 12,868 | 12,868 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 7.92 | 10/23/2003 | 10/23/2011 | Common Stock | 10,000 | 10,000 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 8.343 | 10/19/2001 | 10/19/2009 | Common Stock | 9,527 | 9,527 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 14.3438 | 08/04/1999 | 10/14/2008 | Common Stock | 7,273 | 7,273 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 16.875 | 08/04/1999 | 11/16/2006 | Common Stock | 5,000 | 5,000 | D | ||||||||
ISO Stock Option (Right to Buy) | $ 26.4063 | 08/04/1999 | 11/07/2007 | Common Stock | 5,000 | 5,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VAGNINI MICHAEL F MIDDLEBURY, CT 06749 |
VP and Controller |
Michael F. Vagnini | 05/05/2005 | |
**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) | These shares were acquired during the fiscal year pursuant to the Registrant's Employee Stock Ownership Plan (ESOP Trust) and through reinvestment of dividends paid on the shares in this fund. |
(2) | These shares were acquired during the fiscal year pursuant to the Registrant's Dividend Reinvestment Plan and through the reinvestment of dividends paid on the shares in this fund. |
(3) | 19,120 shares were distributed to the reporting person in accordance with the LTIP Plan of which all 19,120 shares were withheld to satisfy tax withholding requirements. It is anticipated that 44,403 shares, representing the balance of the shares in the LTIP account, will be transferred to the reporting person on or about May 9, 2005. |
(4) | 200 shares were distributed to the reporting person in accordance with the LTIP Plan of which all 200 shares were withheld to satisfy tax withholding requirements. It is anticipated that 44,403 shares, representing the balance of the shares in the LTIP account, will be transferred to the reporting person on or about May 9, 2005. |
(5) | These shares were acquired during the fiscal year pursuant to the 1988 Long Term Incentive Plan and through reinvestment of dividends paid on the shares in this fund. |