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 | ||||
Employee stock option (right to buy) | 08/31/2012(2) | 08/27/2019 | common stock | 11,733 | $ 9.79 | D | Â |
Employee stock option (right to buy) | 08/31/2013(3) | 08/26/2020 | common stock | 9,084 | $ 14.64 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dodson Paulette R. C/O SARA LEE CORPORATION 3500 LACEY ROAD DOWNERS GROVE, IL 60515 |
 |  |  SVP, GC & Corp Sec |  |
/s/ Helen N. Kaminski, pursuant to power of attorney being filed herewith. | 04/07/2011 | |
**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 12,814 restricted stock units ("RSU") that may be settled only for shares of common stock. RSUs generally vest one to five years after the grant date, and upon vesting are convertible into shares of common stock on a one-for-one basis. |
(2) | Option vests in full on August 31, 2012, subject to the reporting person's continued employment with Sara Lee through that date. |
(3) | Option vests in full on August 31, 2013, subject to the reporting person's continued employment with Sara Lee through that date. |