0001120437-20-000014.txt : 20200109
0001120437-20-000014.hdr.sgml : 20200109
20200109155618
ACCESSION NUMBER: 0001120437-20-000014
CONFORMED SUBMISSION TYPE: 5
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20191231
FILED AS OF DATE: 20200109
DATE AS OF CHANGE: 20200109
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: 20518163
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
wf-form5_157860335996510.xml
FORM 5
X0306
5
2019-12-31
0
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
2019-04-18
5
G
0
1000
0
D
206809
D
Common Shares
2019-05-20
5
G
0
500
0
D
206309
D
Common Shares
2019-07-09
5
G
0
5000
0
D
201309
D
Common Shares
2019-07-12
5
G
0
3800
0
D
197509
D
Common Shares
2019-07-26
5
G
0
400
0
D
197109
D
Common Shares
2019-09-30
5
G
0
300
0
D
196809
D
Common Shares
2019-12-17
5
G
0
1231
0
D
195578
D
Common Shares
2019-12-20
5
G
0
9000
0
D
186578
D
Common Shares
518
I
By wife
Common Shares
20704
I
By 401K
Common Shares
1868068
I
By Voting Trust
Common Shares
78943
I
By trust
Option (Right to Buy)
29.94
2021-05-13
Common Shares
230000.0
230000
D
Option (Right to Buy)
20.79
2022-05-16
Common Shares
309200.0
309200
D
Option (Right to Buy)
22.6
2023-05-10
Common Shares
186000.0
186000
D
Option (Right to Buy)
26.83
2024-05-16
Common Shares
225000.0
225000
D
Option (Right to Buy)
29.26
2025-05-11
Common Shares
236100.0
236100
D
Option (Right to Buy)
29.45
2026-08-15
Common Shares
53800.0
53800
D
Option (Right to Buy)
27.79
2027-05-24
Common Shares
39700.0
39700
D
Option (Right to Buy)
25.7
2028-05-22
Common Shares
18320.0
18320
D
Option (Rigft to Buy)
30.72
2029-05-22
Common Shares
33624.0
33624
D
Restricted Stock Units
2020-05-24
Common Shares
60619.0
60619
D
Restricted Stock Units
2021-05-23
Common Shares
57261.0
57261
D
Restricted Stock Units
2022-05-22
Common Shares
60630.0
60630
D
Series A Common Shares
Common Shares
2035638.0
2035638
I
By Voting Trust
Deferred Compensation
Common Shares
57722.0
57722
D
Series A Common Shares
Common Shares
10359.0
10359
D
Series A Common Shares
Common Shares
297.0
297
I
By Wife
Series A Common Shares
Common Shares
11424.0
11424
I
By Trust
By gift
Includes 3768 shares owned by children. Reporting person disclaims beneficial ownership of shares owned by children.
Balance includes additional shares to correct for the over withholding of shares for payment of payroll taxes on 5/11/19.
Voluntary reporting of shares in the TDS 401K. The information is based on a plan statement dated 12/31/19. The number of shares fluctuates and is attributable to the price of the shares on 12/31/19.
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, 115,170 shares are held as custodian for children, 114,943 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, 689,156 shares are held by a family partnership of which reporting person is a general partner, and 29,198 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 225,692. Reporting person disclaims beneficial ownership of shares held for the benefit of persons other than the reporting person.
On August 22, 2019 the reporting person's spouse's GRAT transferred voting trust certificates representing 32,296 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.
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.
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.
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.
Vests on the third anniversary
Restricted stock unit award pursuant to the 2011 Long Term Incentive Plan. Stock units will become vested on third anniversary.
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, 124,922 are held as custodian for children and 10,917 are held by spouse, and 750,906 shares are held by a family partnership of which reporting person is a general partner and 31,547 that reporting person is trustee of trusts which his children beneficially own the shares in the trusts. Of the remaining shares, 3,725 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 56,070 common shares units were vested at 12/31/19.
Julie D. Mathews, by power of atty
2020-01-09