SEC Form 5 · accession 0001120437-16-000067
TELEPHONE & DATA SYSTEMS INC /DE/ · TDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas D Shuma
Officer — Sr VP & Corporate Controller
Period of report
Dec 31, 2015
Accepted (ET)
Jan 13, 2016 · 8:04 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001051512
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Deferred CompensationF3 | — | Dec 31, 2015 | J | 126 | A | — | — | Common Shares | 5,903 | 5,903 | D |
| Option (Right to buy)F1 | $35.35 | holding | — | — | — | — | Aug 26, 2018 | Common Shares | 15,300 | 15,300 | D |
| Option (Right to buy)F2 | $29.94 | holding | — | — | — | — | May 13, 2021 | Common Shares | 21,500 | 21,500 | D |
| Option (Right to buy)F4 | $20.79 | holding | — | — | — | — | May 15, 2022 | Common Shares | 24,533 | 24,533 | D |
| Option (Right to buy)F5 | $22.60 | holding | — | — | — | — | May 10, 2023 | Common Shares | 29,814 | 29,814 | D |
| Option (Right to buy)F5 | $26.83 | holding | — | — | — | — | May 16, 2024 | Common Shares | 25,411 | 25,411 | D |
| Option (Right to buy)F5 | $29.26 | holding | — | — | — | — | May 11, 2025 | Common Shares | 31,356 | 31,356 | D |
| Restricted Stock UnitsF6 | — | holding | — | — | — | — | May 10, 2016 | Common Shares | 5,486 | 5,486 | D |
| Restricted Stock UnitsF6 | — | holding | — | — | — | — | May 16, 2017 | Common Shares | 5,638 | 5,638 | D |
| Restricted Stock UnitsF6 | — | holding | — | — | — | — | May 11, 2018 | Common Shares | 6,992 | 6,992 | D |
Explanation of responses
- F1Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third of the number of shares becoming exercisable on Aug. 26, 2009, one-third becoming exercisable on Aug. 26, 2010 and one-third becoming exercisable on Aug. 26, 2011.
- F2Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third of the number of shares becoming exercisable on the first anniversary, one-third on the second annual anniversary and one-third on the third annual anniversary.
- F3Reporting person deferred performance bonuses pursuant to the Long Term Incentive Plans. At Dec. 31, 2015, a total of 5,903 were vested.
- F4Granted under the 2011 Long Term Incentive Plan. Options vest over a 3 year period with one-third of the number of shares becoming exercisable on the first anniversary, one-third on the second annual anniversary and one-third on the third annual anniversary. .
- F5Granted under the the 2011 Long-Term Incentive Plan. Options vest on the third annual anniversary.
- F6Restricted stock units pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on the third annual anniversary.