0001120437-12-000008.txt : 20120119 0001120437-12-000008.hdr.sgml : 20120119 20120119172758 ACCESSION NUMBER: 0001120437-12-000008 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120119 DATE AS OF CHANGE: 20120119 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: 12535371 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 X0304 5 2011-12-31 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 4795.45 D Special Common Shares 74233.93 D Common Shares 1158.011 I By wife Special Common Shares 6444.2514 I By Wife Common Shares 2011-12-31 5 J 0 220 A 9577.27 I By 401K plan Special Common Shares 2011-12-31 5 J 0 195.52 A 8625.37 I By 401K plan Special Common 2011-12-16 5 G 0 10491 0 D 1815587.35 I By Voting Trust Option (Right to buy) 60.20 2002-12-15 2012-08-19 Tandem Common and Special Common Shares 68215 68215 D Option (Right to buy) 52.92 2003-12-15 2013-07-03 Tandem Common and Special Common Shares 65567 65567 D Option (Right to buy) 66.00 2004-12-15 2014-05-08 Tandem Common and Special Common Shares 67540 67540 D Option (Right to buy) 77.36 2005-12-15 2015-04-20 Tandem Common and Special Common Shares 111045 111045 D Option (Right to buy) 49.80 2006-12-15 2016-12-13 Special Common Shares 213333 213333 D Option (Right to buy) 59.45 2007-12-15 2017-07-02 Special Common Shares 179653 179653 D Option (Right to buy) 35.35 2018-08-26 Special Common Shares 226425 226425 D Option (Right to buy) 26.95 2019-05-20 Special Common Shares 244000 244000 D Option (Right to buy) 26.66 2020-05-25 Special Common Shares 250000 250000 D Option (Right to buy) 29.94 2021-05-13 Special Common Shares 230000 230000 D Restricted Stock Units 2012-12-15 Special Common Shares 37400 37400 D Restricted Stock Units 2013-12-02 Special Common Shares 36700 36700 D Series A Common Shares 2011-12-16 5 G 0 10472 0 D Common or Special Common Shares 1819611.09 1819611.09 I By Voting Trust Deferred Compensation 2011-12-31 5 J 0 232.137 A Common Shares 13019.41 13019.41 D Deferred Compensation 2011-12-31 5 J 0 654.61 A Special Common Shares 36063.492 36063.492 D Series A Common Shares Common or Special Common Shares 13441.54 13441.54 D Series A Common Shares Common or Special Common Shares 5283.15 5283.15 I By Wife Series A Common shares are convertible, on a share-for-share basis, into common or special common. 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, 95768.22 (including 17830.22 acquired in dividend reinvestment) are held as custodian for children and 9159.01 (including 1202.01 acquired in dividend reinvestment) are held by spouse, and 687,337.39 (including 17340.39 acquired in dividend reinvestment) shares are held by a family partnership of which reporting person is a general partner. Of the remaining shares, 2855.47 were earned pursuant to a dividend reinvestment plan. Reporting person disclaims beneficial ownership of shares owned by wife and as custodian for children. In addition, 862,693 Series A common Shares owned by family limited partnership. Reporting person deferred bonuses pursuant to the TDS Long Term Incentive Plan. Employer matches vest ratably at a rate of 33%, 33%, 34% over three years. A total of 13,019.41 common shares units were vested at 12/31/11. Voluntary reporting of shares acquired in 2011 in the TDS 401K. The information is based on a plan statement dated 12/31/11. The number of shares fluctuates and is attributable to the price of the shares on 12/31/11. Reporting person deferred bonuses pursuant to the TDS Long Term Incentive Plan. Employer matches vest ratably at a rate of 33%, 33% and 34% over three years. A total of 34,916.27 special common share units were vested at 12/31/11. Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Special Common shares, 95973.33 (18016.33 including acquired in dividend reinvestment) are held as custodian for children and 13492.61 (including 1221.61 acquired in dividend reinvestment) are held by spouse, and 685,962.47 including 15965.47 acquired in dividend reinvestment) shares are held by a family partnership of which reporting person is a general partner. Of the remaining shares, 0.94 were earned pursuant to a dividend reinvestment plan. Reporting person's GRAT owns 383,912 and wife's GRAT owns 326,250. Reporting person disclaims beneficial ownership of shares owned by wife and as custodian for children. 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 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 Long-Term Incentive Plan. Stock units will become vested on December 15, 2012. Gift Restricted stock unit award pursuant to the Long Term Incentive Plan. Stock units will become vested on Dec. 2, 2013. Includes 1634 shares owned by children. Reporting person disclaims beneficial ownerhsip of shares owned by children. Julie D. Mathews, by power of atty 2012-01-19