0001120437-12-000034.txt : 20120126 0001120437-12-000034.hdr.sgml : 20120126 20120126143355 ACCESSION NUMBER: 0001120437-12-000034 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120124 FILED AS OF DATE: 20120126 DATE AS OF CHANGE: 20120126 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CARLSON LEROY T JR CENTRAL INDEX KEY: 0000901731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-14157 FILM NUMBER: 12547272 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 4 1 edgar.xml PRIMARY DOCUMENT X0304 4 2012-01-24 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 2012-01-24 4 J 0 9577.27 D 0 I By 401K Special Common Shares 2012-01-24 4 J 0 8625.37 D 0 I By 401K Common Shares 2012-01-24 4 J 0 18926.39 A 18926.39 I By 401K Common Shares 2012-01-24 4 J 0 153.45 D 0 D Common Shares 2012-01-24 4 J 0 166.8002 A 166.8002 D Special Common Shares 2012-01-24 4 J 0 5386.93 D 0 D Common Shares 2012-01-24 4 J 0 5386.93 A 5553.7302 D Special Common Shares 2012-01-24 4 J 0 1815587.35 D 0 I By Voting Trust Common Shares 2012-01-24 4 J 0 1815587.35 A 1815587.35 I By Voting Trust Special Common Shares 2012-01-24 4 J 0 392.25 D 0 I By Wife Common Shares 2012-01-24 4 J 0 392.25 A 392.25 I By Wife Common Shares 2012-01-24 4 J 0 116.01 D 0 I By Wife Common Shares 2012-01-24 4 J 0 126.1029 A 518.35 I By Wife Series A Common Shares 2012-01-24 4 J 0 7941.54 D Common or Special Common Shares 7941.54 0 D Series A Common Shares 2012-01-24 4 J 0 8632.454 A Common Shares 8632.454 8632.454 D Series A Common Shares 2012-01-24 4 J 0 273.15 D Common or Special Common Shares 273.15 0 I By Wife Series A Common Shares 2012-01-24 4 J 0 296.9141 A Common Shares 296.9141 296.9141 I By Wife Series A Common Shares 2012-01-24 4 J 0 1819611 D Series A Common Shares 1819611 0 I By Voting Trust Series A Common Shares 2012-01-24 4 J 0 1977916.938 A Common Shares 1977916.938 1977916.938 I By Voting Trust Deferred Compensation 2012-01-24 4 J 0 13019.41 D Common Shares 13019.41 0 D Deferred Compensation 2012-01-24 4 J 0 14152.0987 A Common Shares 14152.0987 14152.0987 D Deferred Compensation 2012-01-24 4 J 0 36063.492 D Special Common Shares 36063.492 0 D Deferred Compensation 2012-01-24 4 J 0 36063.492 A Common Shares 36063.492 50215.59 D Stock Option (Right to Buy) 60.20 2012-01-24 4 J 0 68215 D 2002-12-15 2012-08-19 Common and Special Common Shares 68215 0 D Stock Option (Right to Buy) 28.85 2012-01-24 4 J 0 142364.705 A 2002-12-15 2012-08-19 Common Shares 142364.705 142364.705 D Stock Option (Right to Buy) 52.92 2012-01-24 4 J 0 65567 D 2003-12-15 2013-07-03 Common and Special Common Shares 65567 0 D Stock Option (Right to Buy) 25.36 2012-01-24 4 J 0 136838.329 A 2003-12-15 2013-07-03 Common Shares 136838.329 136838.329 D Stock Option (Right to Buy) 66.00 2012-01-24 4 J 0 67540 D 2004-12-15 2014-05-08 Common and Special Common Shares 67540 0 D Stock Option (Right to Buy) 31.62 2012-01-24 4 J 0 140955.98 A 2004-12-15 2014-05-08 Common Shares 140995.98 140995.98 D Stock Option (Right to Buy) 77.36 2012-01-24 4 J 0 111045 D 2005-12-15 2015-04-20 Common and Special Common Shares 111045 0 D Stock Option (Right to Buy) 37.07 2012-01-24 4 J 0 231750.915 A 2005-12-15 2015-04-20 Common Shares 231750.915 231750.915 D Stock Option (Right to Buy) 49.80 2012-01-24 4 J 0 213333 D 2006-12-15 2016-12-13 Special Common Shares 213333 0 D Stock Option (Right to Buy) 49.80 2012-01-24 4 J 0 213333 A 2006-12-15 2016-12-13 Common Shares 213333 213333 D Stock Option (Right to Buy) 59.45 2012-01-24 4 J 0 179653 D 2007-12-15 2017-07-02 Special Common Shares 179653 0 D Stock Option (Right to Buy) 59.45 2012-01-24 4 J 0 179653 A 2007-12-15 2017-07-02 Common Shares 179653 179653 D Stock Option (Right to Buy) 35.35 2012-01-24 4 J 0 226425 D 2018-08-26 Special Common Shares 226425 0 D Stock Option (Right to Buy) 35.35 2012-01-24 4 J 0 226425 A 2018-08-26 Common Shares 226425 226425 D Stock Option (Right to Buy) 26.95 2012-01-24 4 J 0 244000 D 2019-05-20 Special Common Shares 244000 0 D Stock Option (Right to Buy) 26.95 2012-01-24 4 J 0 244000 A 2019-05-20 Common Shares 244000 244000 D Stock Option (Right to Buy) 26.66 2012-01-24 4 J 0 250000 D 2020-05-25 Special Common Shares 250000 0 D Stock Option (Right to Buy) 26.66 2012-01-24 4 J 0 250000 A 2020-05-25 Common Shares 250000 250000 D Stock Option (Right to Buy) 29.94 2012-01-24 4 J 0 230000 D 2021-05-13 Special Common Shares 230000 0 D Stock Option (Right to Buy) 29.94 2012-01-24 4 J 0 230000 A 2021-05-13 Common Shares 230000 230000 D Series A Common Shares are convertible, on a share-for-share basis, into common or special common shares. Pursuant to a reclassification exempt under Rule 16b-3 and Rule 16b-7, each Special Common Share was reclassified into one Common Share, each Common Share was reclassified into 1.087 Common Shares, and each Series A Common Share was reclassified into 1.087 Series A Common Shares, and each stock award relating to such shares was appropriately adjusted. 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, 104,100.453 (including 19,381.453 acquired in dividend reinvestment) are held as custodian for children and 9955.579 (including 1306.579 acquired in dividend reinvestment) are held by spouse, and 747,136 (including 18,849.008 acquired in dividend reinvestment) shares are held by a family partnership of which reporting person is a general partner. Of the remaining shares, 3103.898 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, 937,747 Series A common Shares owned by family limited partnership. 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. Includes 3768 shares owned by children. Reporting person disclaims beneficial ownerhsip of shares owned by children. 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. 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. Granted under the 2004 Long Term Incentive Plan. Options vest over a 3 year period with one-third vesting on the first annual anniversary, one-third vested on the second annual anniversary and one-third vesting on the third annual anniversary. Shares held in TDS 401K plan. The number of shares fluctuates and is attributable to the price of the shares on Dec. 31, 2011. Shares held in TDS 401K plan. The number of shares fluctuates and is attributable to the price of the shares on Jan. 25, 2012. Julie D. Mathews, by power of atty 2012-01-26