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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 | ||||||||
Employee Stock Option - Right to Buy | $ 5.1 | 10/31/2012 | M(1) | 25,000 | (3) | 11/19/2014 | Common Stock | 25,000 | $ 0 | 0 | D | ||||
Employee Stock Option - Right to Buy | $ 5.98 | 10/31/2012 | M(1) | 10,451 | (4) | 07/01/2013 | Common Stock | 10,451 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCKEIRNAN THOMAS L 201 W. NORTH RIVER DR. STE 100 SPOKANE, WA 99201 |
Sr. V.P. & General Counsel |
/s/ Julie Langenheim, Attorney-in-fact | 11/02/2012 | |
**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) | These transactions were cashless exercises of two stock options that occurred automatically pursuant to the terms of the reporting person's written plan for trading securities under SEC Rule 10b5-1(c). These transactions resulted in the issuer's receipt of the aggregate exercise price of $189,997 for the shares that were acquired. If not exercised, one of the options would have expired on or before July 1, 2013 and the other would have expired on or before November 19, 2014. |
(2) | Includes shares acquired through Red Lion Hotels Corporation Employee Stock Purchase Plan through the period ended on June 30, 2012. The amount also includes total number of restricted stock units held. |
(3) | This option vested in 3 installments: 25% vested on February 16, 2007, 25% vested on November 19, 2008 and 50% vested on November 19, 2009. |
(4) | This option vested in 2 installments: 75% vested on December 31, 2006 and 25% vested on June 19, 2007. |