FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 04/07/2010 |
3. Issuer Name and Ticker or Trading Symbol
RURAL/METRO CORP /DE/ [ RURL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 12,485(1) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (Right to Buy) | 12/17/2001 | 12/17/2011 | Common Stock | 10,000 | $0.39 | D | |
Employee Stock Option (Right to Buy) | 10/24/2002 | 10/24/2012 | Common Stock | 10,000 | $2 | D | |
Stock Appreciation Right | (2) | 08/11/2015 | Common Stock | 15,000 | $1.99 | D | |
Stock Appreciation Right | (3) | 08/10/2016 | Common Stock | 17,500 | $3.93 | D |
Explanation of Responses: |
1. Represents (a) 3,677 shares of common stock; and (b) 27,500 shares subject to issuance upon vesting of Restricted Stock Units ("RSUs") granted to the Reporting Person pursuant to the Issuer's 2008 Incentive Stock Plan (the "2008 Stock Plan"). An aggregate of 10,000 RSUs will vest in annual installments of 5,000 shares each on August 11, 2010 and August 11, 2011, subject to the Reporting Person's continued service with the Issuer. An aggregate of 17,500 RSUs will vest in three annual installments beginning on August 10, 2010, subject to (a) the Reporting Person's continued service with the Issuer, and (b) the Issuer's achievement of certain performance goals. |
2. These Stock Appreciation Rights ("SARs") were granted pursuant to the 2008 Stock Plan. An aggregate of 5,000 SARs vested and became exercisable on August 11, 2009. The remaining 10,000 SARs will vest and become exercisable in annual installments of 5,000 shares each on August 11, 2010 and August 11, 2011. Upon exercise, the SARs will settle in stock. |
3. These SARs were granted pursuant to the 2008 Stock Plan and will vest and become exercisable in three annual installments beginning on August 10, 2010. Upon exercise, the SARs will settle in stock. |
/s/ Mickeul B. Gibson | 04/19/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |