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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 | ||||||||
Option to Buy (5) | $ 12.981 | 01/02/1998 | 01/02/2007 | Common Stock | 2,400 | 2,400 | D | ||||||||
Option to Buy (5) | $ 13.155 | 01/02/1999 | 01/02/2008 | Common Stock | 3,000 | 3,000 | D | ||||||||
Option to Buy (5) | $ 16.75 | 01/03/2000 | 01/03/2009 | Common Stock | 7,650 | 7,650 | D | ||||||||
Option to Buy (5) | $ 16.75 | 01/04/2002 | 01/04/2009 | Common Stock | 500 | 500 | D | ||||||||
Option to Buy (5) | $ 35.9688 | 01/03/2001 | 01/03/2010 | Common Stock | 8,000 | 8,000 | D | ||||||||
Option to Buy (5) | $ 24.7813 | 06/26/2001 | 06/26/2010 | Common Stock | 6,200 | 6,200 | D | ||||||||
Option to Buy (5) | $ 22.8438 | 01/01/2002 | 01/01/2011 | Common Stock | 8,000 | 8,000 | D | ||||||||
Option to Buy (5) | $ 16.425 | 09/05/2002 | 09/05/2011 | Common Stock | 1,000 | 1,000 | D | ||||||||
Option to Buy (5) | $ 9.645 | 12/04/2002 | 12/04/2011 | Common Stock | 8,500 | 8,500 | D | ||||||||
Option to Buy (5) | $ 5.655 | 12/04/2004 | 12/04/2013 | Common Stock | 51,000 | 51,000 | D | ||||||||
Option to Buy (5) | $ 3.995 | 12/01/2005 | 12/01/2015 | Common Stock | 50,000 | 50,000 | D | ||||||||
Option to Buy (5) | $ 4.735 | 12/08/2007 | 12/08/2016 | Common Stock | 50,000 | 50,000 | D | ||||||||
Option to Buy (6) | $ 4.91 | 12/07/2008(7) | 12/07/2017 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KEATING BRIAN G 221 EAST FOURTH STREET CINCINNATI, OH 45202 |
Vice President |
Christopher J. Wilson, Attorney-in-Fact for Brian G. Keating | 03/04/2008 | |
**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) | Restricted common shares forfeited upon completion of 2005-2007 performance cycle under the Cincinnati Bell Inc. 1997 Long Term Incentive Plan, which is a Rule 16b-3 Plan. |
(2) | Surrender of previously granted restricted shares under the Cincinnati Bell Inc. 1997 Long Term Incentive Plan, which is a Rule 16b-3 Plan. |
(3) | Common shares issued upon vesting of performance units granted under the Cincinnati Bell Inc. 1997 Long Term Incentive Plan, which is a Rule 16b-3 Plan. |
(4) | Surrender of common shares to cover tax liabilities upon vesting of performance units granted under the Cincinnati Bell Inc. 1997 Long Term Incentive Plan, which is a Rule 16b-3 Plan. |
(5) | Option shares granted under the Cincinnati Bell Inc. 1997 Long Term Incentive Plan which is a Rule 16b-3 Plan. |
(6) | Option shares granted under the Cincinnati Bell Inc. 2007 Long Term Incentive Plan which is a Rule 16b-3 Plan. |
(7) | Options have a 3 year vesting schedule: 28% one year from grant date and 3% for each of the remaining 24 months. |