0001120437-17-000008.txt : 20170117
0001120437-17-000008.hdr.sgml : 20170116
20170117083114
ACCESSION NUMBER: 0001120437-17-000008
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20161231
FILED AS OF DATE: 20170117
DATE AS OF CHANGE: 20170117
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 JR
CENTRAL INDEX KEY: 0000901731
FILING VALUES:
FORM TYPE: 5
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-14157
FILM NUMBER: 17529268
MAIL ADDRESS:
STREET 1: C/O TDS
STREET 2: 30 N. LASALLE ST #4000
CITY: CHICAGO
STATE: IL
ZIP: 60602
5
1
edgar.xml
PRIMARY DOCUMENT
X0306
5
2016-12-31
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
59767
D
Common Shares
518
I
By wife
Common Shares
20788
I
By 401K
Common Shares
1856665
I
By Voting Trust
Common Shares
78943
I
By trust
Option (Right to buy)
59.45
2007-12-15
2017-07-02
Common Shares
179653
179653
D
Option (Right to buy)
35.35
2018-05-21
Common Shares
226425
226425
D
Option (Right to buy)
26.95
2019-05-20
Common Shares
244000
244000
D
Option (Right to buy)
26.66
2020-05-25
Common Shares
250000
250000
D
Option (Right to buy)
29.94
2021-05-13
Common Shares
230000
230000
D
Option (Right to buy)
20.79
2022-05-16
Common Shares
309200
309200
D
Option (Right to buy)
22.60
2023-05-10
Common Shares
186000
186000
D
Option (Right to buy)
26.83
2024-05-16
Common Shares
225000
225000
D
Option (Right to buy)
29.26
2025-05-11
Common Shares
236100
236100
D
Option (Right to buy)
29.45
2026-08-15
Common Shares
53800
53800
D
Restricted Stock Units
2017-05-16
Common Shares
47996
47996
D
Restricted Stock Units
2018-05-11
Common Shares
51761
51761
D
Restricted Stock Units
2019-05-11
Common Shares
76273
76273
D
Series A Common Shares
Common Shares
2022895
2022895
I
By Voting Trust
Deferred Compensation
2016-12-31
5
J
0
1264
A
Common Shares
66774
66774
D
Series A Common Shares
Common Shares
9644
9644
D
Series A Common Shares
Common Shares
297
297
I
By Wife
Series A Common Shares
Common Shares
11424
11424
I
By Trust
Series A Common shares are convertible, on a share-for-share basis, into common shares.
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, 116,295 are held as custodian for children and 10,800 are held by spouse, and 749,344 shares are held by a family partnership of which reporting person is a general partner and 29,368 that reporting person is trustee of trusts which his children beneficially own the shares in the trusts. . Of the remaining shares, 3,467 are owned in individual reporting person's name. In addition, 1,113,621 Series A common Shares owned by family limited partnerships. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person.
Reporting person deferred bonuses pursuant to the TDS Long Term Incentive Plans. Employer matches vest ratably at a rate of 33%, 33%, 34% over three years. A total of 64,643 common shares units were vested at 12/31/16.
Voluntary reporting of shares in the TDS 401K. The information is based on a plan statement dated 12/31/16. The number of shares fluctuates and is attributable to the price of the shares on 12/31/16.
Reporting person is one of four trustees which is record owner of these shares which files its holdings on forms 4. Of these Common shares, 107,216 shares are held as custodian for children, 42,817 are held by spouse, 374,126 are held by a family limited partnership, 89,679 shares through a marital trust, 105,942 are held in a LLC of which the reporting person is the sole voting member, 687,833 shares are held by a family partnership of which reporting person is a general partner, and 27,182 shares that reporting person is trustee of trusts which his children beneficially own shares in the trusts. Also includes 60,321 shares in a trust, the trustee of which is a third party & the beneficiaries include the descendents of the reporting person & his spouse. 63,841 shares are owned by individual reporting person. Reporting person's wife's GRAT owns 297,709. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person.
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 2004 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.
Includes 3768 shares owned by children. Reporting person disclaims beneficial ownership of shares owned by children.
Granted under the 2011 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.
Voluntary report of shares held in trust, the trustee of which is a third party and beneficiaries of which include the descendants of the reporting person and his spouse. Reporting person disclaims beneficial ownership of such shares.
Restricted stock unit award pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on third anniversary.
On August 16, 2016 the reporting person's spouse's GRAT transferred voting trust certificates representing 11,629 shares to the spouse individually. The reporting person previous reported all securities held by spouse and spouse's GRAT. Accordingly, the transfer did not result in the change in the number of securities reported as beneficially owned by reporting person.
Vests on the third anniversary
Julie D. Mathews, by power of atty
2017-01-17