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 |
Stock Option (right to buy)
|
Â
(1)
|
11/06/2014 |
Common Stock
|
12,500
|
$
12.16
|
D
|
Â
|
Stock Option (right to buy)
|
Â
(2)
|
07/22/2015 |
Common Stock
|
7,500
|
$
15.22
|
D
|
Â
|
Restricted Stock Units
|
Â
(3)
|
Â
(3)
|
Common Stock
|
12,500
|
$
(4)
|
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) |
25,000 options were granted on November 6, 2009, vesting over a four year period. As of the date of this filing, 12,500 options have vested, and were exercised and sold. 6,250 options vest and become exercisable on November 6, 2012 and the remaining 6,250 options vest and become exercisable on November 6, 2013. |
(2) |
10,000 options were granted on July 22, 2010, vesting over a four year period. As of the date of this filing, 2,500 options have vested, and were exercised and sold. 2,500 options vest and become exercisable on July 22, 2012, 2,500 options vest and become exercisable on July 22, 2013 and the remaining 2,500 options vest and become exercisable on July 22, 2014. |
(3) |
The restricted stock units vest in four equal annual installments beginning May 12, 2013. Vested shares will be delivered to the reporting person as soon as administratively practicable following the vesting of the restricted stock unit. |
(4) |
Each restricted stock unit represents a contingent right to receive one share of Heartland Payment Systems, Inc.'s Common Stock. |