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 |
Non-Qualified Stock Option Right to Buy
|
03/24/2012(1)
|
03/24/2021 |
Common Stock
|
100,000
|
$
6
|
D
|
Â
|
Incentive Stock Option Right to Buy
|
08/16/2008(2)
|
08/16/2017 |
Common Stock
|
14,300
|
$
7.48
|
D
|
Â
|
Incentive Stock Option Right to Buy
|
08/17/2010 |
08/17/2016 |
Common Stock
|
5,000
|
$
3.94
|
D
|
Â
|
Incentive Stock Option Right to Buy
|
08/30/2009 |
08/30/2015 |
Common Stock
|
5,000
|
$
3.96
|
D
|
Â
|
Restricted Stock Units
|
Â
(3)
|
Â
(3)
|
Common Stock
|
12,333
|
$
(4)
|
D
|
Â
|
Restricted Stock Units
|
Â
(5)
|
Â
(5)
|
Common Stock
|
5,500
|
$
(4)
|
D
|
Â
|
Restricted Stock Units
|
Â
(6)
|
Â
(6)
|
Common Stock
|
1,850
|
$
(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) |
The shares underlying this option become exercisable one-fifth on each of the five anniversaries of March 24, 2011, the date of the grant, subject to the continued employment or termination of employment due to retirement. |
(2) |
Twenty-five percent of these options become exercisable on each of the four anniversaries of 8/16/2007, the date of grant, subject to continued employment. |
(3) |
Shares awarded under the Alliance One International, Inc. Long-Term Incentive Plan. 3-year cliff vesting: 100% at third anniversary of 2/9/11, the date of grant. |
(4) |
Each restricted stock unit represents a contingent right to receive one share of Alliance One International, Inc. common stock. |
(5) |
Shares awarded under the Alliance One International, Inc. Long-Term Incentive Plan. 3-year cliff vesting: 100% at third anniversary of 10/18/2010, the date of grant. |
(6) |
Shares awarded under the Alliance One International, Inc. Long-Term Incentive Plan. 3-year tranche vesting: 50% at year 1, 25% at year 2, and 25% at year 3 from 10/18/2010, the date of grant. |