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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Klein Scott W. P.O. BOX 619810 2200 WEST AIRFIELD DRIVE DFW AIRPORT, TX 75261 |
X | Chief Executive Officer |
Larry Cannon, Attorney-in-fact for Scott W. Klein | 03/16/2010 | |
**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) | Represents restricted stock granted under the SuperMedia Inc. 2009 Long-Term Incentive Plan (the "Plan"), which vests in one-third increments on March 12, 2011, March 12, 2012, and March 12, 2013. Notwithstanding the prior sentence, (i) all unvested shares will immediately vest upon a "change in control" of the issuer, and (ii) all unvested shares will immediately terminate upon the reporting person's termination with the issuer for any reason, except that the Human Resources Committee, at its sole option and election, may permit the unvested shares not to terminate if the reporting person is terminated without cause. |
(2) | Represents restricted stock granted under the Plan, which vests in one-third increments on March 12, 2011, March 12, 2012, and March 12, 2013. Notwithstanding the prior sentence, (i) generally, all unvested shares will immediately vest upon a "change in control" of the issuer or upon the reporting person's termination with the issuer for "good reason," without "cause," or due to death or "disability," and (ii) all unvested shares will immediately terminate upon the reporting person's termination with the issuer for any other reason not set forth in clause (i) of this footnote, including, without limitation, termination for "cause." |