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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option (Right to Buy) | $ 49.05 | Â | Â | Â | Â | Â | Â (2) | 04/01/2018 | Common Shares | Â | 4,838 | Â | ||
Option (Right to Buy) | $ 29.25 | Â | Â | Â | Â | Â | Â (2) | 04/01/2019 | Common Shares | Â | 4,488 | Â | ||
Option (Right to Buy) | $ 36.21 | Â | Â | Â | Â | Â | Â (2) | 04/01/2020 | Common Shares | Â | 9,443 | Â | ||
Option (Right to Buy) | $ 44.59 | Â | Â | Â | Â | Â | Â (2) | 04/01/2021 | Common Shares | Â | 8,132 | Â | ||
Option (Right to Buy) | $ 34.94 | Â | Â | Â | Â | Â | Â (2) | 04/02/2022 | Common Shares | Â | 7,257 | Â | ||
Option (Right to Buy) | $ 31.17 | Â | Â | Â | Â | Â | Â (2) | 04/01/2023 | Common Shares | Â | 9,880 | Â | ||
Option (Right to Buy) | $ 41.22 | Â | Â | Â | Â | Â | Â (2) | 04/01/2024 | Common Shares | Â | 15,675 | Â | ||
Option (Right to Buy) | $ 36.42 | Â | Â | Â | Â | Â | Â (2) | 04/01/2025 | Common Shares | Â | 28,375 | Â | ||
Option (Right to Buy) | $ 45.87 | Â | Â | Â | Â | Â | Â (2) | 04/01/2026 | Common Shares | Â | 20,975 | Â | ||
Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (3) | 04/01/2018 | Common Shares | Â | 7,238 | Â | ||
Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (3) | 04/01/2019 | Common Shares | Â | 7,489 | Â | ||
Restricted Stock Units | Â | Â | Â | Â | Â | Â | Â (3) | 04/03/2020 | Common Shares | Â | 7,810 | Â | ||
Performance Share Units | Â | Â | Â | Â | Â | Â | Â (4) | Â (4) | Common Shares | Â | 3,905 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Perez Edward 8410 W. BRYN MAWR CHICAGO, IL 60631 |
 |  |  Senior Vice President - Sales |  |
Julie D. Mathews, by power of atty | 02/07/2018 | |
**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) | Voluntary reporting of USM shares in the USM 401K. The information is based on a plan statement dated 12/31/17. The number of shares fluctuates and is attributable to the price of the shares on 12/31/17. |
(2) | Options are scheduled to become exercisable in annual increments of one third on April 1 of each year |
(3) | Restricted stock units that become vested on third annual anniversary. |
(4) | On April 3, 2017, the reporting person was granted an award based on the achievement of certain performance measures, except that such award provides that in no event shall the number of shares subject to the award be less than 50% of the target opportunity as of the grant date. Accordingly, the reporting person is reporting a stock award of 50% of the target opportunity as of the grant date. To the extent that the actual amount is determined to be greater than 50% of the target opportunity based on the final determination of the performance measures, the reporting person will file a Form 4 at such time to report the additional award above 50% of the target opportunity. |