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TELEPHONE & DATA SYSTEMS INC /DE/ — Director's Dealing 2016
Jan 11, 2016
31096_dirs_2016-01-11_9ef46f78-e17f-4323-9b94-f591020a5387.zip
Director's Dealing
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SEC Form 5 — Annual Statement of Changes in Beneficial Ownership
Issuer: TELEPHONE & DATA SYSTEMS INC /DE/ (TDS)
CIK: 0001051512
Period of Report: 2015-12-31
Reporting Person: CARLSON WALTER CD (Director)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Shares | 36170 | Direct |
| Common Shares | 1926072 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Series A Common shares | $ | Common Shares (1110) | 1110 | Direct | |
| Series A Common Shares | $ | Common Shares (2219582) | 2219582 | Indirect |
Footnotes
F1: Series A Common shares are convertible, on a share-for-share basis, into common shares.
F2: Reporting person is one of four trustees which is record owner of these shares and while files its holdings on forms 4. Of these shares, 124,692 are held for the benefit of children, 7770 are held by wife, and 687,446 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 1,106,164 in the individual reporting person's name.
F3: Reporting person is one of four trustees which is record owner of these shares and while files its holdings on forms 4. Of these shares, 143,959 are held for the benefit of children, 710,041 are held by a family limited partnership, and 748,888 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 223,185 owned by two GRAT's and 393,509 shares in the individuals reporting person's name.
F4: On Jan. 4 and Sept. 10, 2015, the reporting person's GRAT transferred voting trust certificates representing 92,758 and 119,105, respectively, Series A Common shares to reporting person individually. The reporting person previously reported all securities held in his name and through GRATs. 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.