1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security |
5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Restricted Stock Units
(1)
|
10/18/2013(2)
|
Â
(2)
|
Common Stock (Direct)
|
11,000
|
$
(1)
|
D
|
Â
|
Restricted Stock Units
(1)
|
Â
(3)
|
Â
(3)
|
Common Stock (Direct)
|
2,000
|
$
(1)
|
D
|
Â
|
Stock Option (right-to-buy)
|
11/10/2007 |
11/10/2014 |
Common Stock (Direct)
|
1,000
|
$
6.45
|
D
|
Â
|
Stock Option (right-to-buy)
|
08/30/2008 |
08/30/2015 |
Common Stock (Direct)
|
1,875
|
$
3.96
|
D
|
Â
|
Stock Option (right-to-buy)
|
08/17/2009 |
08/17/2016 |
Common Stock (Direct)
|
2,500
|
$
3.94
|
D
|
Â
|
Stock Option (right-to-buy)
|
08/16/2010 |
08/16/2017 |
Common Stock (Direct)
|
14,300
|
$
7.48
|
D
|
Â
|
Stock Option (right-to-buy)
|
03/24/2012(4)
|
03/24/2021 |
Common Stock (Direct)
|
100,000
|
$
6
|
D
|
Â
|
Stock Option (right-to-buy)
|
Â
(5)
|
04/17/2022 |
Common Stock (Direct)
|
100,000
|
$
6
|
D
|
Â
|
* |
If the form is filed by more than one reporting person, see Instruction 5(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) |
Each restricted stock unit represents a contingent right to receive one share of Alliance One International, Inc. common stock Shares awarded under the Alliance One International, Inc. Long-Term Incentive Plan. |
(2) |
Shares awarded have a 3-year cliff vesting: 100% at third anniversary of grant date. |
(3) |
Originally awarded 4,000 Restricted Stock Units, of which 2,000 vested on October 18, 2011. The remaining shares vest 50% on October 18, 2012 and 50% on October 18, 2013. |
(4) |
The shares underlying this option became exercisable one-fifth on this date, and the remaining underlying shares become exercisable one-fifth annually thereafter. |
(5) |
The shares underlying this option become exercisable one-fifth on each of the five anniversaries of April 17, 2012, the date of grant, subject to continued employment or termination of employment due to retirement. |