0001120437-14-000006.txt : 20140116 0001120437-14-000006.hdr.sgml : 20140116 20140116163138 ACCESSION NUMBER: 0001120437-14-000006 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131231 FILED AS OF DATE: 20140116 DATE AS OF CHANGE: 20140116 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARLSON LEROY T CENTRAL INDEX KEY: 0001195231 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14157 FILM NUMBER: 14532403 MAIL ADDRESS: STREET 1: C/O TDS STREET 2: 30 N LASALLE STREET, STE 4000 CITY: CHICAGO STATE: IL ZIP: 60602 5 1 edgar.xml PRIMARY DOCUMENT X0306 5 2013-12-31 0 0 0001051512 TELEPHONE & DATA SYSTEMS INC /DE/ TDS 0001195231 CARLSON LEROY T TELEPHONE AND DATA SYSTEMS, INC. 30 N. LASALLE ST., STE. 4000 CHICAGO IL 60602 1 1 0 0 Chairman Emeritus Common Shares 94860 D Common Shares 9627 I By 401k plan Common Shares 221982 I By Voting Trust Common Shares 10101 I By wife Option (Right to buy) 31.62 2004-12-15 2014-05-08 Common Shares 46905.325 46905.325 D Option (Right to buy) 37.07 2005-12-15 2015-04-20 Common Shares 55370.197 55370.197 D Option (Right to buy) 38.00 2006-12-15 2016-06-19 Common Shares 61127 61127 D Option (Right to buy) 59.45 2007-12-15 2017-07-02 Common Shares 36116 36116 D Option (Right to buy) 35.35 2018-08-26 Common Shares 41500 41500 D Option (Right to buy) 26.95 2019-05-20 Common Shares 42200 42200 D Option (Right to buy) 26.66 2020-05-25 Common Shares 39900 39900 D Option (Right to buy) 29.94 2021-05-13 Common Shares 31400 31400 D Option (Right to buy) 20.79 2022-05-15 Common Shares 51400 51400 D Option (Right to buy) 22.60 2023-05-10 Common Shares 39382 39382 D Restricted Stock Units 2014-12-01 2014-12-01 Common Shares 10000 10000 D Restricted Stock Units 2016-05-10 2016-05-10 Common Shares 10628 10628 D Series A Common Shares Common Shares 64139 64139 I By wife Series A Common shares Common Shares 246837 246837 I By Voting Trust Deferred Compensation 2013-12-31 5 J 0 2551 A Common Shares 135573 135573 D Series A Common shares are convertible, on a share-for-share basis, into common shares. Beneficial ownership of shares held in Voting Trust. Reporting person disclaims ownership of 210,158 shares acquired by wife. Voluntary reporting of shares in the TDS 401K. The information is based on a plan statement dated 12/31/13. The number of shares fluctuates and is attributable to the price of the shares on 12/31/13. Reporting person has deferrred bonuses pursuant to the Long term incentive plan. The employer match vests ratably at 33%, 33% and 34% per year over a 3 year period. Common share units vested at 12/31/13 were 133,432. Beneficial ownership of shares held in Voting Trust. Reporting person disclaims ownership of 192,439 shares acquired by wife. Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third of the number of shares becoming exercisable on the Aug. 26, 2009, one-third on Aug. 26, 2010 and one-third on Aug. 26, 2011. Granted under the 2004 Long-Term Incentive Plan. Options vest over a 3 year period with one-third of the number of shares becoming exercisable on the first anniversary, one-third on the second anniversary and one-third on the third anniversary. Granted under the 2011 Long-Term Incentive Plan. Options vest over a 3 year period with one-third of the number of share becoming exercisable on the first anniversary, one-third on the second anniversary and one-third on the third anniversary. Restricted stock unit award pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on December 1, 2014. Granted under the 2011 Long-Term Incentive Plan. Options vest on the third annual anniversary Restricted Stock unit award pursuant to the Long Term Incentive Plan. Sock units will become vested on the third annual anniversary. Julie D. Mathews, by power of atty 2014-01-16