FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
UNITED FIRE & CASUALTY CO [ UFCS ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/19/2008 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 04/06/2009 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 12/19/2008 | J(1) | 500 | A | $30 | 6,891(2)(3) | I | By 401(k) for spouse | ||
Common Stock | 12/19/2008 | J(4) | 200 | A | $30 | 7,091(3)(5) | I | As custodian for daugther |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. On December 19, 2008, the individual retirement account for the benefit of Mr. Ernst's spouse sold 500 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled |
2. The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; and approximately 4,231 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement from the trustee. |
3. The number of securities shown as being held in the Company 401(k) account for Mr. Ernst's benefit is the approximate number of shares of common stock for which Mr. Ernst has the right to direct the vote under the 401(k) plan. Such shares are not directly allocated to plan participants, but are instead held in a unitized fund consisting primarily of common stock, together with a small percentage of short-term investments. Participants acquire units of this fund. |
4. On December 19, 2008, Mr. Ernst, as custodian for his daughter, sold 200 shares of Company common stock. On March 31, 2009, the December 19, 2008 sale was cancelled, effective as of December 19, 2008. |
5. The number of securities beneficially held includes: 1,944 shares of restricted stock issued under the Company's 2008 Stock Plan, which vest, subject to certain conditions, on 05/21/2013; 216 shares held in the Company's Employee Stock Ownership Plan for Mr. Ernst's benefit; 500 shares held in an individual retirement account for the benefit of Mr. Ernst's spouse; 200 shares held as custodian for Mr. Ernst's daughter; and approximately 4,231 shares held in a Company 401(k) account for Mr. Ernst's benefit, based on a statement from the trustee. |
Remarks: |
This amendment is filed to report the cancellation of two sale transactions that originally occurred on December 19, 2008. This amendment also explains the unitized nature of the shares held for Mr. Ernst's benefit in the Company 401(k) account and discloses the approximate number of shares of common stock beneficially owned after the reported transactions, instead of disclosing the number of unitized shares. |
/a/ Barrie W. Ernst | 05/06/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |