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