SEC Form 5 · accession 0001120437-15-000004
TELEPHONE & DATA SYSTEMS INC /DE/ · TDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Walter Cd Carlson
Director
Period of report
Dec 31, 2014
Accepted (ET)
Jan 16, 2015 · 10:05 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001051512
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Shares | holding | — | — | — | 32,222 | D | ||
| Common SharesF2,F4 | holding | — | — | — | 1,921,679 | I | By Voting Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Series A Common SharesF5,F3,F4,F1 | — | Dec 29, 2014 | G | 3,315 | D | — | — | Common Shares | 2,207,340 | 2,207,340 | I |
| Series A Common sharesF1 | — | holding | — | — | — | — | — | Common Shares | 1,086 | 1,086 | D |
Explanation of responses
- F1Series A Common shares are convertible, on a share-for-share basis, into common shares.
- F2Reporting person is one of four trustees which is record owner of these shares and while files its holdings on forms 4. Of these shares, 122,530 are held for the benefit of children, 7770 are held by wife, and 687,066 are held by family partnership of which reporting person is a general partner. Reporting person disclaims beneficial ownership of shares held for benefit of persons other than the reporting person. The remaining shares include 1,104,313 in the individual reporting person's name.
- F3Reporting person is one of four trustees which is record owner of these shares and while files its holdings on forms 4. Of these shares, 141,482 are held for the benefit of children, 707,099 are held by a family limited partnership, and 748,439 are held by family partnership of which reporting person is a general partner. Reporting person disclaims beneficial ownership of the shares held for the benefit of persons other than the reporting person. The remaining shares include 428,882 owned by two GRAT's and 181,438 shares in the individuals reporting person's name.
- F4On Jan. 4, 2014, the reporting person's GRAT transferred voting trust certificates representing 57,481 common shares and 18,237 Series A common to reporting person individually. The reporting person previously reported all securities held in his name and through a GRAT. Accordingly, the transfer of voting trust certificates did not result in any change in the number of securities reported as beneficially owned by the reporting person.
- F5By gift