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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 | ||||||||
Stock Option (right to buy) | $ 6.34 | 04/14/2010 | M | 6,922 | (3) | 12/14/2017 | Common Stock, par value $0.001 | 6,922 | $ 0 | 15,078 | D | ||||
Stock Option (right to buy) | $ 6.34 | 04/15/2010 | M | 3,977 | (3) | 12/14/2017 | Common Stock, par value $0.001 | 3,977 | $ 0 | 11,101 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Macri Steven James 75 ROCKEFELLER PLAZA NEW YORK, NY 10019 |
EVP, Chief Financial Officer |
/s/ Trent Tappe as attorney-in-fact | 04/16/2010 | |
**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) | The sales reported on this Form 4 were effected pursuant to a Rule 10b5-1 trading plan established by the reporting person in connection with his individual long-term strategy for estate planning. |
(2) | The price represents the weighted average sale price for multiple transactions reported on this line. The prices of the transactions ranged from $8.00 to $8.01. Upon request of the SEC staff, Warner Music Group Corp. (the "Company") or a security holder of the COmpany, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(3) | The options vested and became exercisable in two equal installments as follows: (a) 5,500 on December 14, 2008 and (b) 5,500 on December 14, 2009. Unvested options are scheduled to become vested and exercisable as follows: (a) 5,500 on December 14, 2010 and (b) 5,500 on December 14, 2011, provided that Mr. Macri remains with the Company on each such date. |