UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Units in Perles Plus Plan linked to Issuer's Stock | 07/01/2014 | 07/01/2014 | Common Stock | 20,000 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Marques Antonio 120 PARK AVENUE NEW YORK, NY 10017 |
 |  |  SVP, Operations |  |
Jerry Whitson for Antonio Marques | 02/06/2014 | |
**Signature of Reporting Person | Date |
* | 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) | Includes 40,400 Deferred Shares. |
(2) | Each unit in PERLES Plus Plan (the "Plan"), issued and administered by UBS AG London, entitles the reporting person on July 1, 2014, to one share of Issuer's common stock plus a cash payment representing the difference between $91.54 and the closing price of the Issuer's common stock on July 1, 2014 (to be delivered by the Plan no later than July 9, 2014); provided however, that if at any time prior to July 1, 2014, the quoted price of the Issuer's common stock is $49.79 or below, the reporting person will automatically receive one share of Issuer's common stock in exchange for each such unit, and the Plan will terminate on the same day. |