EX-3 4 w07441exv3.htm EXHIBIT 3 exv3
 

Exhibit 3

                                                 
                                Transaction        
                                Price   Exercise   Where and How
        Transaction               Options or   (per   Price (per   Transaction was
Date   Legal Owner   Code   Security Type4   Shares   Warrants   share)   share)   Effected
4/13/1992
  Subsidiary of Pitkin Non-Grantor Trust   B   Options             162,500     n/a1   $ 3.00     Private
4/13/1992
  Subsidiary of Pitkin Non-Grantor Trust   B   Options             25,000     n/a1   $ 3.00     Private
4/13/1992
  Subsidiary of Pitkin Non-Grantor Trust   B   Options             162,500     n/a1   $ 3.00     Private
4/13/1992
  Subsidiary of Pitkin Non-Grantor Trust   B   Options             25,000     n/a1   $ 3.00     Private
4/13/1992
  Charles J. Wyly, Jr.   S   Options             (375,000 )   n/a1   $ 3.00     Private
5/12/1992
  Subsidiary of Pitkin Non-Grantor Trust   E   Options     100,000       (100,000 )   $ 3.00             Option exercise with Michaels
5/22/1992
  Subsidiary of Pitkin Non-Grantor Trust   E   Options     25,000       (25,000 )   $ 3.00             Option exercise with Michaels
5/29/1992
  Subsidiary of Pitkin Non-Grantor Trust   E   Options     75,000       (75,000 )   $ 3.00             Option exercise with Michaels
5/29/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (25,000 )           $ 22.00             Transaction through broker
5/29/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (25,000 )           $ 22.00             Transaction through broker
6/8/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (12,500 )           $ 21.13             Transaction through broker
6/8/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (12,500 )           $ 21.13             Transaction through broker
6/9/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (26,000 )           $ 21.06             Transaction through broker
6/9/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (26,000 )           $ 21.06             Transaction through broker
6/12/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (10,000 )           $ 21.50             Transaction throughbroker
6/12/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (10,000 )           $ 21.50             Transaction through broker
7/27/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (13,000 )           $ 20.38             Transaction through broker
7/27/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (13,000 )           $ 20.38             Transaction through broker
7/30/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (5,000 )           $ 20.00             Transaction through broker
7/30/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (5,000 )           $ 20.00             Transaction through broker
7/31/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (1,250 )           $ 20.38             Transaction through broker
7/31/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (7,250 )           $ 20.88             Transaction through broker
7/31/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (1,250 )           $ 20.38             Transaction through broker
7/31/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (7,250 )           $ 20.88             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   E   Options     87,500       (87,500 )   $ 3.00             Option exercise with Michaels
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   E   Options     87,500       (87,500 )   $ 3.00             Option exercise with Michaels
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (6,500 )           $ 21.25             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (6,500 )           $ 21.38             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (8,500 )           $ 21.38             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (10,000 )           $ 21.75             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (8,500 )           $ 21.50             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (6,500 )           $ 21.38             Transaction through broker
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (6,500 )           $ 21.25             Transaction through broker

 

 

                                                 
                                Transaction        
                                Price   Exercise   Where and How
        Transaction               Options or   (per   Price (per   Transaction was
Date   Legal Owner   Code   Security Type4   Shares   Warrants   share)   share)   Effected
8/5/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (10,000 )           $ 21.75             Transaction through
broker
8/6/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (5,000 )           $ 20.63             Transaction through
broker
8/7/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (1,000 )           $ 20.63             Transaction through
broker
8/7/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (1,000 )           $ 20.63             Transaction through
broker
8/13/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (5,000 )           $ 20.63             Transaction through
broker
8/19/1992
  Charles J. Wyly, Jr.   G   Options             300,000             $ 20.63     Option grant by Michaels
9/30/1992
  Subsidiary of Pitkin Non-Grantor Trust   S   Stock     (17,000 )           $ 28.53             Transaction through
broker
12/29/1995
  Maroon Creek Trust   B   Options             300,000     n/a1   $ 17.00     Private
12/29/1995
  Maroon Creek Trust   B   Options             50,000     n/a1   $ 17.00     Private
12/29/1995
  Charles J. Wyly, Jr.   S   Options             (350,000 )           $ 17.00     Private
12/30/1995
  Woody International Trust   B   Options             50,000     n/a1   $ 17.00     Private
12/30/1995
  Woody International Trust   B   Options             50,000     n/a1   $ 17.00     Private
12/30/1995
  Charles J. Wyly, Jr.   S   Options             (100,000 )           $ 17.00     Private
3/4/1996
  Subsidiary of Castle Creek International Trust   C   Options             (350,000 )           $ 17.00     Option cancellation by
Michaels
3/4/1996
  Subsidiary of Tyler Trust   C   Options             (100,000 )           $ 17.00     Option cancellation by
Michaels
3/4/1996
  Subsidiary of Castle Creek International Trust   G   Options             350,000             $ 12.50     Option grant by Michaels
3/4/1996
  Subsidiary of Tyler Trust   G   Options             100,000             $ 12.50     Option grant by Michaels
3/29/1996
  Subsidiary of Castle Creek International Trust   B   Stock     666,667             $ 12.50             Transaction with Michaels
4/1/1996
  Charles J. Wyly, Jr.   G   Options             367,417             $ 14.38     Option grant by Michaels
12/23/1996
  Subsidiary of Red Mountain Trust   B   Options             666,667     $ 0.50     $ 10.50     Transaction with Michaels
2/28/1997
  Subsidiary of Red Mountain Trust   E   Options     666,667       (666,667 )   $ 10.50             Option exercise with
Michaels
6/30/1997
  Subsidiary of Castle Creek International Trust   S   Stock     (100,000 )           $ 20.94             Transaction through
broker
7/1/1997
  Subsidiary of Castle Creek International Trust   S   Stock     (100,000 )           $ 21.25             Transaction through
broker
7/2/1997
  Subsidiary of Castle Creek International Trust   S   Stock     (100,000 )           $ 21.63             Transaction through
broker
7/17/1997
  Charles J. Wyly, Jr.   E   Options     25,000       (25,000 )   $ 14.38             Option exercise with
Michaels
7/17/1997
  Charles J. Wyly, Jr.   S   Stock     (25,000 )           $ 22.00             Transaction through
broker
7/22/1997
  Charles J. Wyly, Jr.   E   Options     67,042       (67,042 )   $ 14.38             Option exercise with
Michaels
7/22/1997
  Charles J. Wyly, Jr.   S   Stock     (67,042 )           $ 21.40             Transaction through
broker
7/23/1997
  Charles J. Wyly, Jr.   E   Options     47,500       (47,500 )   $ 14.38             Option exercise with
Michaels
7/23/1997
  Charles J. Wyly, Jr.   S   Stock     (47,500 )           $ 21.38             Transaction through
broker
7/24/1997
  Charles J. Wyly, Jr.   E   Stock     92,500       (92,500 )   $ 14.38             Option exercise with
Michaels
7/24/1997
  Charles J. Wyly, Jr.   S   Stock     (92,500 )           $ 21.02             Transaction through
broker
7/25/1997
  Charles J. Wyly, Jr.   E   Options     135,375       (135,375 )   $ 14.38             Option exercise with
Michaels
7/25/1997
  Charles J. Wyly, Jr.   G   Options             581,920             $ 21.38     Option grant by Michaels

 

 

                                                 
                                Transaction        
                                Price   Exercise   Where and How
        Transaction               Options or   (per   Price (per   Transaction was
Date   Legal Owner   Code   Security Type4   Shares   Warrants   share)   share)   Effected
7/25/1997
  Charles J. Wyly, Jr.   G   Options             18,080             $ 21.38     Option grant by Michaels
7/25/1997
  Brush Creek Ltd.   S   Stock     (155,000 )           $ 20.88             Transaction through
broker
7/25/1997
  Charles J. Wyly, Jr.   S   Stock     (135,375 )           $ 20.88             Transaction through
broker
7/25/1997
  MEF, Ltd.   S   Stock     (100,000 )           $ 20.88             Transaction through
broker
10/22/1997
  Subsidiary of Red Mountain Trust   S   Stock     (7,500 )           $ 32.58             Transaction through
broker
11/20/1997
  Subsidiary of Red Mountain Trust   S   Stock     (54,000 )           $ 29.35             Transaction through
broker
12/1/1997
  Subsidiary of Red Mountain Trust   S   Stock     (40,000 )           $ 33.06             Transaction through
broker
12/2/1997
  Subsidiary of Red Mountain Trust   S   Stock     (16,000 )           $ 34.33             Transaction through
broker
12/3/1997
  Subsidiary of Red Mountain Trust   S   Stock     (40,000 )           $ 35.05             Transaction through
broker
12/4/1997
  Subsidiary of Red Mountain Trust   S   Stock     (11,000 )           $ 35.76             Transaction through
broker
12/5/1997
  Subsidiary of Red Mountain Trust   S   Stock     (10,000 )           $ 36.63             Transaction through
broker
12/9/1997
  Subsidiary of Red Mountain Trust   S   Stock     (3,000 )           $ 36.25             Transaction through
broker
12/12/1997
  Subsidiary of Red Mountain Trust   S   Stock     (10,500 )           $ 35.08             Transaction through
broker
12/15/1997
  Subsidiary of Red Mountain Trust   S   Stock     (8,000 )           $ 34.41             Transaction through
broker
4/12/2000
  Stargate, Ltd.   E   Options     37,500       (37,500 )   $ 21.38             Option exercise with
Michaels
4/12/2000
  Stargate, Ltd.   S   Stock     (37,500 )           $ 43.42             Transaction through
broker
4/18/2000
  Stargate, Ltd.   E   Options     40,000       (40,000 )   $ 21.38             Option exercise with
Michaels
4/18/2000
  Stargate, Ltd.   S   Stock     (40,000 )           $ 40.16             Transaction through
broker
4/19/2000
  Stargate, Ltd.   E   Options     72,500       (72,500 )   $ 21.38             Option exercise with
Michaels
4/19/2000
  Stargate, Ltd.   S   Stock     (72,500 )           $ 40.29             Transaction through
broker
4/20/2000
  Stargate, Ltd.   E   Options     50,000       (50,000 )   $ 21.38             Option exercise with
Michaels
4/20/2000
  Stargate, Ltd.   S   Stock     (50,000 )           $ 41.00             Transaction through
broker
4/25/2000
  Stargate, Ltd.   E   Options     70,000       (70,000 )   $ 21.38             Option exercise with
Michaels
4/25/2000
  Stargate, Ltd.   S   Stock     (70,000 )           $ 42.23             Transaction through
broker
5/1/2000
  Stargate, Ltd.   E   Options     37,500       (37,500 )   $ 21.38             Option exercise with
Michaels
5/1/2000
  Stargate, Ltd.   E   Options     70,000       (70,000 )   $ 21.38             Option exercise with
Michaels
5/1/2000
  Charles J. Wyly, Jr.   S   Stock     (70,000 )           $ 40.33             Transaction through
broker
5/1/2000
  Charles J. Wyly, Jr.   S   Stock     (37,500 )           $ 40.64             Transaction through
broker
5/2/2000
  Stargate, Ltd.   E   Options     72,500       (72,500 )   $ 21.38             Option exercise with
Michaels
5/2/2000
  Stargate, Ltd.   S   Stock     (72,500 )           $ 40.67             Transaction through
broker
5/3/2000
  Stargate, Ltd.   E   Options     4,167       (4,167 )   $ 21.38             Option exercise with
Michaels
5/3/2000
  Stargate, Ltd.   S   Stock     (4,167 )           $ 40.00             Transaction through
broker
5/4/2000
  Stargate, Ltd.   E   Options     50,000       (50,000 )   $ 21.38             Option exercise with
Michaels
5/4/2000
  Stargate, Ltd.   S   Stock     (50,000 )           $ 40.34             Transaction through
broker

 

 

                                                 
                                Transaction        
                                Price   Exercise   Where and How
        Transaction               Options or   (per   Price (per   Transaction was
Date   Legal Owner   Code   Security Type4   Shares   Warrants   share)   share)   Effected
5/5/2000
  Stargate, Ltd.   E   Options     46,667       (46,667 )   $ 21.38             Option exercise with
Michaels
5/5/2000
  Stargate, Ltd.   E   Options     12,500       (12,500 )   $ 21.38             Option exercise with
Michaels
5/5/2000
  Stargate, Ltd.   S   Stock     (46,667 )           $ 40.80             Transaction through
broker
5/8/2000
  Stargate, Ltd.   E   Options     36,666       (36,666 )   $ 21.38             Option exercise with
Michaels
5/8/2000
  Stargate, Ltd.   S   Stock     (36,666 )           $ 42.17             Transaction through
broker
8/23/2000
  Subsidiary of Castle Creek International Trust   E   Options     350,000       (350,000 )   $ 17.00             Option exercise with
Michaels
8/23/2000
  Subsidiary of Tyler Trust   E   Options     100,000       (100,000 )   $ 17.00             Option exercise with
Michaels
8/31/2000
  Charles J. Wyly, Jr.   G   Options             50,000             $ 35.00     Option grant by Michaels
9/6/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (42,500 )           $ 42.00             Transaction through
broker
9/7/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (157,500 )           $ 42.30             Transaction through
broker
10/5/2001
  Charles J. Wyly, Jr.   G   Options             17,500             $ 42.00     Option grant by Michaels
10/9/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (82,500 )           $ 42.39             Transaction through
broker
10/10/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (7,500 )           $ 42.02             Transaction through
broker
10/16/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (100,000 )           $ 45.86             Transaction through
broker
10/16/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (10,000 )           $ 41.97             Transaction through
broker
10/31/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (10,000 )           $ 52.82             Transaction through
broker
11/5/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (25,000 )           $ 52.97             Transaction through
broker
11/7/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (64,500 )           $ 52.80             Transaction through
broker
11/7/2001
  Subsidiary of Castle Creek International Trust   S   Stock     (500 )           $ 52.97             Transaction through
broker
8/7/2002
  Charles J. Wyly, Jr.   G   Options             100,000             $ 34.10     Option grant by Michaels

1   For a description of the transaction terms for this transaction, see Preamble of this Amendment.
 
3   On the dates indicated, one of the Reporting Persons ceased reporting beneficial ownership of the shares held by a domestic trust for the benefit of a child of such Reporting Person.
 
4   For the sake of simplicity, this table groups warrants held by the subsidiaries of the Foreign Trusts into the total number of options listed in each entry, and does not differentiate between options and warrants.
 
TRANSACTION CODES:
B — (i) transaction by which securities were acquired by foreign trusts or subsidiaries thereof or (ii) purchase transaction.
S — (i) transaction by which securities were tranasferred to foreign trusts or subsidiaries thereof or (ii) sale transaction.
E — exercise of option or warrant.
G — grant of option or warrant by Michaels.
C — cancellation of option or warrant by Michaels.
O — other transaction.