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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 | ||||||||
Non-employee Stock Option (Right to Buy) (3) | $ 9.7 | 12/04/2012 | 12/04/2012 | M | 15,000 | 01/04/2013(3) | 01/04/2020 | Common Stock | 20,000 | $ 0 | 11,029 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROSENTHAL AMIR C/O STURM, RUGER & COMPANY, INC. 1 LACEY PLACE SOUTHPORT, CT 06890 |
X |
/s/ Leslie M. Gasper, attorney-in-fact | 12/06/2012 | |
**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) | Exercise of vested stock options with option price paid in cash. |
(2) | To reflect the correct number of total shares beneficially owned as 19,627 rather than 33,722 in the Form 4 filed on 12/5/12. |
(3) | The options become vested and exercisable in four equal installments of 5,000 shares beginning on the date of the award and on each of the next three anniversaries of the award. The first installment vested on January 1, 2010, the second on January 1, 2011 and the third on January 1, 2012. The fourth and final installment will become vested and exercisable on June 1, 2013. |