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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 | ||||||||
Purchase Option | $ 2.21 (1) | 07/01/2000 | (2) | Common Stock | 472 | 472 (1) | D | ||||||||
Purchase Option | $ 2.21 (3) | 07/01/2001 | (2) | Common Stock | 1,895 | 1,895 (3) | D | ||||||||
Purchase Option | $ 2.21 (4) | 07/01/2002 | (2) | Common Stock | 883 | 883 (4) | D | ||||||||
Purchase Option | $ 2.21 (5) | 07/01/2003 | (2) | Common Stock | 1,066 | 1,066 (5) | D | ||||||||
Purchase Option | $ 2.21 (6) | 07/01/2004 | (2) | Common Stock | 117 | 117 (6) | D | ||||||||
Purchase Option | $ 2.21 (7) | 07/01/2005 | (2) | Common Stock | 90 | 90 (7) | D | ||||||||
Stock Option (Right to Buy) | $ 21.89 (8) | 07/31/2004 | 07/31/2013 | Common Stock | 3,397 | 3,397 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DE LUZURIAGA FRANCESCA RUIZ C/O OFFICEMAX INCORPORATED 263 SHUMAN BLVD. NAPERVILLE, IL 60563 |
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/s/ Matthew R. Broad by POA from Francesca Ruiz de Luzuriaga | 06/19/2013 | |
**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) | This option was previously reported as covering 417 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(2) | The option expires three years following the reporting person's termination as a director of the Company. |
(3) | This option was previously reported as covering 1,674 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(4) | This option was previously reported as covering 780 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(5) | This option was previously reported as covering 942 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(6) | This option was previously reported as covering 104 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(7) | This option was previously reported as covering 80 shares at an exercise price of $2.50 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |
(8) | This option was previously reported as covering 3,000 shares at an exercise price of $24.79 per share. The exercise price and the number of shares underlying this option reflect an equitable adjustment made on June 17, 2013 as a result of a special cash dividend to be paid to shareholders of record as of the close of business on June 12, 2013. |