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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 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 | ||||||||
Stock Appreciation Rights (3) | $ 4.56 | (3) | 02/03/2014 | Common Stock | 3,000 | 3,000 | D | ||||||||
Stock Appreciation Rights | $ 5.03 | (4) | 03/01/2015 | Common Stock | 24,096 | 27,096 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Micali Richard P C/O PDI, INC., MORRIS CORPORATE CENTER 1 300 INTERPACE PARKWAY PARSIPPANY, NJ 07054 |
Senior VP, Sales Services |
Richard Micali | 03/07/2011 | |
**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) | Includes 5,000 restricted stock units that vest on February 3, 2012, 11,928 restricted stock units that vest on March 1, 2013, and 1,518 shares of restricted stock that vest one-half on each of 12/21/11 and 12/21/12. |
(2) | Restricted stock that vests on March 3, 2014. |
(3) | Two-thirds are currently exercisable and one-third will become exercisable on 2/3/12. |
(4) | One-third is currently exercisable and one-third will become exercisable on each of 3/1/12 and 3/1/13. |