0001120437-13-000008.txt : 20130122 0001120437-13-000008.hdr.sgml : 20130121 20130122094414 ACCESSION NUMBER: 0001120437-13-000008 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130122 DATE AS OF CHANGE: 20130122 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARLSON LEROY T JR CENTRAL INDEX KEY: 0000901731 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14157 FILM NUMBER: 13539188 MAIL ADDRESS: STREET 1: C/O TDS STREET 2: 30 N. LASALLE ST #4000 CITY: CHICAGO STATE: IL ZIP: 60602 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: TELEPHONE & DATA SYSTEMS INC /DE/ CENTRAL INDEX KEY: 0001051512 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE COMMUNICATIONS (NO RADIO TELEPHONE) [4813] IRS NUMBER: 362669023 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 30 NORTH LASALLE STREET STREET 2: STE 4000 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3126301900 MAIL ADDRESS: STREET 1: 30 NORTH LASALLE STREET STREET 2: STE 4000 CITY: CHICAGO STATE: IL ZIP: 60602 5 1 edgar.xml PRIMARY DOCUMENT X0306 5 2012-12-31 0 0 0001051512 TELEPHONE & DATA SYSTEMS INC /DE/ TDS 0000901731 CARLSON LEROY T JR 30 N. LASALLE ST., STE. 4000 CHICAGO IL 60602 1 1 0 0 President and CEO Common Shares 30440.4 D Common Shares 518.3 I By wife Common Shares 19337.72 I By 401K Common Shares 2012-12-18 5 G 0 105942 0 D 1818133 I By Voting Trust Common Shares 2012-12-18 5 G 0 105942 0 A 1818133 I By Voting Trust Common Shares 2012-12-18 5 G 0 60321 0 D 1818133 I By Voting Trust Common Shares 2012-12-18 5 G 0 60321 0 A 1818133 I By Voting Trust Common Shares 2012-08-24 5 G 0 77178 0 D 1818133 I By Voting Trust Common Shares 2012-08-24 5 G 0 77178 0 A 1818133 I By Voting Trust Common Shares 2012-08-24 5 G 0 2594 0 D 1818133 I By Voting Trust Common Shares 2012-08-24 5 G 0 2594 0 A 1818133 I By Voting Trust Common Shares 78943 I By trust Option (Right to buy) 25.36 2003-12-15 2013-07-03 Common Shares 136838.329 136838.329 D Option (Right to buy) 31.62 2004-12-15 2014-05-08 Common Shares 140955.98 140955.98 D Option (Right to buy) 37.07 2005-12-15 2015-04-20 Common Shares 231750.915 231750.915 D Option (Right to buy) 49.80 2006-12-15 2016-12-13 Common Shares 213333 213333 D Option (Right to buy) 59.45 2007-12-15 2017-07-02 Common Shares 179653 179653 D Option (Right to buy) 35.35 2018-08-26 Common Shares 226425 226425 D Option (Right to buy) 26.95 2019-05-20 Common Shares 244000 244000 D Option (Right to buy) 26.66 2020-05-25 Common Shares 250000 250000 D Option (Right to buy) 29.94 2021-05-13 Common Shares 230000 230000 D Option (Right to buy) 20.79 2022-05-15 Common Shares 309200 309200 D Restricted Stock Units 2013-12-02 Common Shares 36700 36700 D Restricted Stock Units 2014-12-01 Common Shares 57500 57500 D Series A Common Shares Common Shares 1980782 1980782 I By Voting Trust Deferred Compensation 2012-12-31 5 J 0 1164.909 A Common Shares 55838.4 55838.4 D Series A Common Shares Common Shares 8826.6 8826.6 D Series A Common Shares Common Shares 296.9 296.9 I By Wife Series A Common Shares Common Shares 11424 11424 I By Trust Series A Common shares are convertible, on a share-for-share basis, into common shares. Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Series A Common shares, 106,441.942 are held as custodian for children and 9984.968 are held by spouse, and 747,559.97 shares are held by a family partnership of which reporting person is a general partner . Of the remaining shares, 3173.713 are owned in individual reporting person's name. In addition, 1,113,621 Series A common Shares owned by family limited partnership. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. Reporting person deferred bonuses pursuant to the TDS Long Term Incentive Plans. Employer matches vest ratably at a rate of 33%, 33%, 34% over three years. A total of 54,844.8 common shares units were vested at 12/31/12. Voluntary reporting of shares in the TDS 401K. The information is based on a plan statement dated 12/31/12. The number of shares fluctuates and is attributable to the price of the shares on 12/31/12. Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Common shares, 98,132 shares are held as custodian for children and 16,114 are held by spouse, 124,126 are held by a family limited partnership, 89,679 shares through a marital trust, 105,942 are held in a LLC of which the reporting person is the sole voting member, and 686,321.57 shares are held by a family partnership of which reporting person is a general partner. Also voluntarily includes 60,321 shares in a trust, the trustee of which is a third party and the beneficiaries of which include the descendents of the reporting person and his spouse. Of the remaining shares, 7,107 shares are owned by individual reporting person. Reporting person's GRAT owns 306,734 and wife's GRAT owns 323,656. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person. Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third vesting on Aug. 26, 2009, one-third vesting on Aug. 26, 2010 and one-third vesting Aug. 26, 2011. Granted under the 2004 Long-Term Incentive Plan. Options vest over a 3 year period with one-third becoming exercisable on the first anniversary, one-third on the second anniversary and one-third becoming exercisable on the third anniversary. Restricted stock unit award pursuant to the 2004 Long Term Incentive Plan. Stock units will become vested on Dec. 2, 2013. Includes 3768 shares owned by children. Reporting person disclaims beneficial ownerhsip of shares owned by children. Granted under the 2011 Long Term Incentive Plan. Options vest over a 3 year period with one-third becoming exercisable on the first anniversary, one-third on the second anniversary and one-third becoming exercisable on the third anniversary. Restricted stock unit award pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on Dec. 1, 2014. On Aug. 24, 2012,the reporting person's spouse 's GRAT transferred voting trust certificates representing 2,594 shares to the spouse individually. The reporting person previously reported all securities held by spouse and spouse's GRAT. Accordingly, the transfer did not result in any change in the number of securities reported as beneficially owned by reporting person. On Aug. 24, 2012, the reporting person's GRAT transferred voting trust certificates representing 77,178 shares to the reporting person individually. The reporting person previously reported all securities held in his name and through a GRAT. Accordingly, the transfer did not result in any change in the number of securities reported as beneficially owned by reporting person. On Dec. 18, 2012, the reporting person's marital trust transferred 60,321 shares to a trust of which the trustee is a third party and the beneficiaries of which include descendents of the reporting person and his spouse. These shares continue to be voluntarily family reported by reporting person and thus this transfer did not result in any change in the number of securities reported as beneficially owned by reporting person. On Dec. 18, 2012, the reporting person transferred 105,942 shares to a LLC of which reporting person is sole voting member. This transfer did not result in any change in the number of securities reported as beneficially owned by reporting person. Voluntary report of shares held in trust, the trustee of which is a third party and beneficiaries of which include the descendants of the reporting person and his spouse. Julie D. Mathews, by power of atty 2013-01-21