SEC Form 5 · accession 0001120437-18-000002
TELEPHONE & DATA SYSTEMS INC /DE/ · TDS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Letitia G C Carlson
Director
Period of report
Dec 31, 2017
Accepted (ET)
Jan 4, 2018 · 9:01 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 | — | — | — | 31,346 | D | ||
| Common SharesF3 | holding | — | — | — | 1,842,615 | 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 SharesF2,F1 | — | Dec 28, 2017 | G | 3,087 | D | — | — | Common Shares | 2,012,766 | 2,012,766 | I |
| Series A Common SharesF1 | — | holding | — | — | — | — | — | Common Shares | 1,166 | 1,166 | 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 of a voting trust which is record owner of these Series A Common shares and which files its holdings on a form 4. Of these shares, 5984 are owned by husband, 141,391 are held for the benefit of children and 749,857 are held by a family partnership of which reporting person is a general partner. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. Includes 1,115,533 shares in reporting person's name.
- F3Reporting person is one of four trustees of a voting trust which is record owner of these Common shares and which files its holdings on a form 4. Of these shares, 5499 are owned by husband, 92,190 are held for the benefit of children, 530,567 are held in generation skipping trust, and 688,267 are held by a family partnership of which reporting person is a general partner. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. Includes 526,093 shares in reporting persons name.