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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 | ||||||||
Restricted Stock Units (RSU) (1) | $ 29.66 | 06/20/2006 | A | 18,079 (2) | (3) | (4) | Common Stock | 18,079 | $ 0 | 133,806 (5) | D | ||||
Stock Options (Right to Buy) | $ 29.66 | 06/20/2006 | A | 225,500 | 06/20/2007(6) | 06/20/2012 | Common Stock | 225,500 | $ 0 | 225,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MONTONI RICHARD A C/O MAXIMUS INC 11419 SUNSET HILLS RD RESTON, VA 20190 |
X | CEO and Director |
David R. Francis: As Attorney-In-Fact for Richard A. Montoni | 06/22/2006 | |
**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) | Each RSU represents a contingent right to receive one share of common stock. |
(2) | These awards are being issued pursuant to the Executive Employment, Non-Compete and Confidentiality Agreement between Mr. Montoni and MAXIMUS dated April 21,2006, to replace awards that Mr. Montoni forfeited or would forfeit if not exercised prior to June 30,2006 as a result of the termination of his employment with the company on March 31,2006. |
(3) | Restricted stock units vest based on the following schedule: Shares Vest Date 3,792 03/31/2007 3,791 03/31/2008 3,208 03/31/2009 3,207 03/31/2010 2,582 03/31/2011 1,499 03/31/2012 |
(4) | Expiration date not applicable to RSU's. |
(5) | Of this amount, 130,579 shares are restricted and subject to future vesting pursuant to the terms of the grant of restricted stock previously made by the issuer to the reporting person. The reporting person does not have voting or dispositive power over these shares of restricted stock. |
(6) | Options vest as follows: Shares Vest Date 56,375 06/20/2007 56,375 06/20/2008 56,375 06/20/2009 56,375 06/20/2010 |