-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, SUdTtDAwynl4Bq/sJX0SH5TkiKShIErMW3mg8Bh0F0VPat/sW2gcrAX0S5gDm6ls z5CqFzuiRsLVJoQ8A81LPw== 0000062741-99-000089.txt : 19991203 0000062741-99-000089.hdr.sgml : 19991203 ACCESSION NUMBER: 0000062741-99-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19991130 FILED AS OF DATE: 19991202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARSHALL & ILSLEY CORP/WI/ CENTRAL INDEX KEY: 0000062741 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 390968604 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-15403 FILM NUMBER: 99767934 BUSINESS ADDRESS: STREET 1: 770 N WATER ST CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4147657801 MAIL ADDRESS: STREET 1: 770 NORTH WATER ST CITY: MILWAUKEE STATE: WI ZIP: 53202 COMPANY DATA: COMPANY CONFORMED NAME: JONES DENNIS R CENTRAL INDEX KEY: 0001023887 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] OFFICER STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 770 N WATER ST CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4147657801 MAIL ADDRESS: STREET 1: 770 NORTH WATER ST CITY: MILWAUKEE STATE: WI ZIP: 53202 4 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. 1. Name and Address of Reporting Person Jones, Dennis R. 770 North Water Street Milwaukee, WI 53202 USA 2. Issuer Name and Ticker or Trading Symbol Marshall & Ilsley Corporation (MI) 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### 4. Statement for Month/Year 11/1999 5. If Amendment, Date of Original (Month/Day/Year) 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) ( ) Director ( ) 10% Owner (X) Officer (give title below) ( ) Other (specify below) Senior Vice President 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person TABLE I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
+---------------------------------+----------+-------------+-----------------------------+----------------+-----------+------------+ |1. Title of Security |2. Trans- |3. Trans- |4. Securities Acquired (A) |5. Amount of |6. Owner- |7. Nature | | | action | action | or Disposed of (D) | Securities | ship | of In- | | | Date | Code | | Beneficially | Form: | direct | | | | | | Owned at | Direct | Bene- | | | (Month/ | | | End of | (D) or | ficial | | | Day/ +-------+-----+-----------+------+----------+ Month | Indirect| Owner- | | | Year) |Code |V |Amount |A/D |Price | | (I) | ship | +---------------------------------+----------+-------+-----+-----------+------+----------+----------------+-----------+------------+ Common Stock 12/16/1993 21352 A $0.000000 21352 D Common Stock 12/31/1996 G -252 D $0.000000 21100 D Common Stock 02/06/1998 M 6000 A $11.292000 21100 D Common Stock 02/06/1998 S -6000 D $57.773000 21100 D Common Stock 11/29/1999 M 4000 A $21.000000 21100 D Common Stock 11/29/1999 S -4000 D $65.867500 21100 D Common Stock 12/16/1993 4102.8447 A $0.000000 4102.8447 I Spouse Common Stock 03/21/1995 R 28.4592 A $21.625000 4131.3039 I (2) Spouse (1) Common Stock 06/21/1995 R 30.3301 A $22.475000 4161.634 I (2) Spouse (1) Common Stock 09/19/1995 R 26.7969 A $25.625000 4188.4309 I (2) Spouse (1) Common Stock 12/19/1995 R 26.3272 A $26.250000 4214.7581 I (2) Spouse (1) Common Stock 03/19/1996 R 26.8655 A $25.886000 4241.6236 I Spouse Common Stock 06/20/1996 R 27.9651 A $28.060000 4269.5887 I Spouse Common Stock 09/20/1996 R 27.4977 A $28.725000 4297.0864 I Spouse Common Stock 12/18/1996 R 24.5639 A $32.363000 4321.6503 I Spouse Common Stock 03/19/1997 R 21.2432 A $37.636000 4342.8935 I Spouse Common Stock 06/18/1997 R 20.3634 A $42.654000 4363.2569 I Spouse Common Stock 09/17/1997 R 17.4757 A $49.935000 4380.7326 I Spouse Common Stock 12/17/1997 R 14.8352 A $59.059000 4395.5678 I Spouse Common Stock 12/17/1998 R V 18.6956 A $52.350000 4414.2634 I Spouse
TABLE II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
+-------------+--------+----------+---------+-----------+---------------------+----------------+----------+--------+-------+-------+ |1. |2. |3. |4. |5. |6. |7. |8. |9. |10. |11. | | | | | | | | | |Number |Owner- | | | | | | | | | | |of |ship | | | | | | | | | | |Deriv- |Form of| | | | | | | | |Title and Amount| |ative |Deriv- | | | | | | | | |of Underlying | |Secur- |ative |Nature | | |Conver- | | |Number of | |Securities | |ities |Secur- |of | | |sion or | | |Derivative |Date Exercisable +-------+--------+ |Benefi- |ity: |In- | | |Exercise| | |Securities |and Expiration Date | |Amount | |cially |Direct |direct | | |Price of|Transac- |Transac- |Acquired(A)|(Month/Day/Year) | |or | |Owned |(D) or |Bene- | |Title of |Deriv- |tion Date |tion Code|Disposed(D)+----------+----------+ |Number |Price of |at End |In- |ficial | |Derivative |ative |(Month/ +------+--+-----+-----+Date Exer-|Expira- | |of |Derivative|of |direct |Owner- | |Security |Security|Day/Year) |Code |V |(A) |(D) |cisable |tion Date |Title |Shares |Security |Month |(I) |ship | +-------------+--------+----------+------+--+-----+-----+----------+----------+-------+--------+----------+--------+-------+-------+ Stock Option $0 12/12/1996 A 6000 12/12/1997 12/12/2006 Common 6000 $31.875000 6000 D Stock Stock Option $11.292 12/14/1989 A 6000 12/14/1990 12/14/1999 Common 6000 $11.292000 6000 D Stock Stock Option $11.292 02/06/1998 M 6000 12/14/1999 Common 6000 $11.292000 0 D Stock Stock Option $21 02/15/1994 A V 4000 02/15/1995 02/15/2004 Common 4000 $21.000000 4000 D Stock Stock Option $21 11/29/1999 M 4000 02/15/1995 02/15/2004 Common 4000 $21.000000 0 D Stock Stock Option $26.1875 12/14/1995 A 4 6000 12/14/1996 12/14/2005 Common 6000 $26.187500 6000 D Stock Stock Option $57 12/11/1997 A 6000 12/11/1998 12/11/2007 Common 6000 $57.000000 6000 D Stock Perf. Shares $0 12/14/1995 A 3000 (3) 12/31/1998 Common 3000 $0.000000 3000 D Stock (3) Perf. Shares $0 12/12/1996 A 3000 (3) 12/31/1999 Common 3000 $0.000000 3000 D Stock (3) Perf. Shares $0 12/11/1997 A 3000 (3) 12/31/2000 Common 3000 $0.000000 3000 D Stock (3)
Explanation of Responses: (1) Shares acquired pursuant to a dividend reinvestment program exempt under Rule 16b-2. (2) The reporting person disclaims beneficial ownership of all securities held by his children, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such secur (3) Award of performance shares under 1994 Long-Term Incentive Plan for Executives. Performance shares may be paid following expiration of the performance period at SIGNATURE OF REPORTING PERSON /s/ Dennis R. Jones DATE 12/02/1999 -----END PRIVACY-ENHANCED MESSAGE-----