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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 | ||||||||
| Nonstatutory Stock Option 6-16-04 | $ 14.375 | 06/16/2005 | 06/16/2014 | Class A Common Stock | 52,096 | 52,096 | D | ||||||||
| Nonstatutory Stock Option 11-23-04 | $ 21.58 | 11/23/2005 | 11/23/2014 | Class A Common Stock | 130,000 | 130,000 | D | ||||||||
| Nonstatutory Stock Option 12-15-05 | $ 30.645 | 12/15/2006 | 12/15/2015 | Class A Common Stock | 150,000 | 150,000 | D | ||||||||
| Phantom Stock Units (1) | $ 0 | 08/08/1988 | 08/08/1988 | Class A Common Stock | 3,197 | 3,197 (2) | D | ||||||||
| Nonstatutory Stock Option 12-15-06 | $ 32.565 | 12/15/2007 | 12/14/2016 | Class A Common Stock | 175,000 | 175,000 | D | ||||||||
| 2007 Restricted Stock Unit (1) | $ 0 (3) | 12/14/2008(4) | 12/13/2017(5) | Class A Common Stock | 23,848 | 23,848 | D | ||||||||
| NSO 2007 | $ 43.61 | 12/14/2008 | 12/13/2017 | Class A Common Stock | 89,470 | 89,470 | D | ||||||||
| 2008 Restricted Stock Units (1) | $ 0 (3) | 12/12/2009(4) | 12/11/2018(5) | Class A Common Stock | 173,333 | 173,333 | D | ||||||||
| 2009 Restricted Stock Units | $ 0 | 12/11/2010 | 12/11/2019 | Class A Common Stock | 97,034 | 97,034 | D | ||||||||
| Perf Based RSUs 3-16-10 (1) | $ 0 (6) | 12/31/2012(6) | 12/31/2012 | Class A Common Stock | 42,060 | 42,060 (7) | D | ||||||||
| Non-Statutory Stock Option 3-2-2011 - $48.50 | $ 48.5 | 03/02/2012 | 03/02/2021 | Class A Common Stock | 33,129 | 33,129 | D | ||||||||
| Perf Based RSU 3-2-2011 | $ 0 | 12/31/2013 | 03/02/2021 | Class A Common Stock | 25,257 | 25,257 | D | ||||||||
| Perf Based RSUs 3-2-12 (1) | $ 0 (8) | 03/02/2012 | A | 23,104 (9) | 12/31/2014 | 03/02/2022 | Class A Common Stock | 23,104 | $ 0 | 23,104 | D | ||||
| March 2, 2012 Employee RSU Grant (1) | $ 0 (3) | 03/02/2012 | A | 26,406 (10) | 03/02/2013 | 03/02/2022 | Class A Common Stock | 26,406 | $ 0 | 26,406 | D | ||||
| Non Statutory Stock Option 3-2-12 (1) | $ 53.02 | 03/02/2012 | A | 31,167 (11) | 03/02/2013 | 03/02/2022 | Class A Common Stock | 31,167 | $ 0 | 31,167 | D | ||||
| March 2011 Employee RSU Grant | $ 0 | 03/02/2012 | M | 7,216 (12) | 03/02/2012 | 03/02/2021 | Class A Common Stock | 28,886 | $ 53.02 | 21,650 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| HEINEMANN ROBERT C/O BERRY PETROLEUM COMPANY 1999 BROADWAY, SUITE 3700 DENVER, CO 80202 |
President and CEO | |||
| Kenneth A Olson under POA for Robert Heinemann | 03/06/2012 | |
| **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) | 1 for 1 |
| (2) | Phantom Stock Units acquired under the Company's Non-Employee Director Deferred Compensation Plan in a transaction exempt under Rule 16b-3(c). Shares of Common Stock are issued under terms of the Plan upon resignation from the board of directors. |
| (3) | Each RSU represents a contingent right to receive one share of Berry Petroleum Company Class A Common Stock |
| (4) | The RSU granted vest 25% per year beginning one year after grant but the receipt of shares are subject to a deferral period which is generally at least four years from grant date as per the deferral election. |
| (5) | The RSU is subject to a deferral election. Shares of Class A Common Stock will be delivered to the reporting person as per the terms of the deferral election. |
| (6) | Each RSU represents a contingent right to receive one share of Berry Petroleum Company Class A Common Stock if certain pre-established performance factors, as set forth in the Company's Form 8-K dated March 18, 2010, are met. |
| (7) | Per the Agreement this is the maximum number of performance based RSUs that may be received if all performance factors are achieved as outlined in the Form 8-K dated March 18, 2010. |
| (8) | Each RSU represents a contingent right to receive one share of Berry Petroleum Company Class A Common Stock if certain pre-established performance factors are met. |
| (9) | Per the Agreement this is the maximum number of performance based RSUs that may be received if all performance factors are achieved. |
| (10) | Grant of Restricted Stock Unit (RSU) under the Company's 2010 Equity Incentive Plan in a transaction exempt under Rule 16b-3(c). RSUs vest 25% per year from date of grant. |
| (11) | Grant of Nonstatutory Stock Option (NSO) under the Company's 2010 Equity Incentive Plan in a transaction exempt under Rule 16b-3(c). Shares vest 25% per year from date of grant. |
| (12) | Vested shares issued pursuant to Rule 16b-3 plan. |
| (13) | Shares sold to cover taxes on RSU vesting under Rule 16b-3 Plan. |