-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, ErrwfjSLc4At6AbIICdMVw/F9DgtRgf3s64VNzesTjc7dvfj7jhGIDb1trvwRV62 +z6aRJDb/P1QMyEtvP2kgw== 0000912057-01-003878.txt : 20010205 0000912057-01-003878.hdr.sgml : 20010205 ACCESSION NUMBER: 0000912057-01-003878 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010131 FILED AS OF DATE: 20010202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ITT EDUCATIONAL SERVICES INC CENTRAL INDEX KEY: 0000922475 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EDUCATIONAL SERVICES [8200] IRS NUMBER: 362061311 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 001-13144 FILM NUMBER: 1522230 BUSINESS ADDRESS: STREET 1: 5975 CASTLE CREEK PKWY N DR STREET 2: PO BOX 50466 CITY: INDIANAPOLIS STATE: IN ZIP: 46250 BUSINESS PHONE: 3175949499 MAIL ADDRESS: STREET 1: 5975 CASTLE CREEK PKWY N DR STREET 2: P O BOX 50466 CITY: INDIANAPOLIS STATE: IN ZIP: 46250-0466 COMPANY DATA: COMPANY CONFORMED NAME: BAUGH GENE A CENTRAL INDEX KEY: 0001116584 STANDARD INDUSTRIAL CLASSIFICATION: [] OFFICER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: C/O ITT EDUCATIONAL SERVICES INC STREET 2: 5975 CASTLE CREEK PARKWAY NORTH DRIVE CITY: INDIANAPOLIS STATE: IN ZIP: 46250 BUSINESS PHONE: 3175949499 MAIL ADDRESS: STREET 1: C/O ITT EDUCATIONAL SERVICES INC STREET 2: 5975 CASTLE CREEK PARKWAY NORTH DRIVE CITY: INDIANAPOLIS STATE: IN ZIP: 46250 4 1 a2036881z4.txt 4 - ----------- FORM 4 - ----------- STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 1. Name and Address of Reporting Person* ----------------- --------------------------------------------------------------------------------------------------- (Last) BAUGH ----------------- --------------------------------------------------------------------------------------------------- (First) GENE ----------------- --------------------------------------------------------------------------------------------------- (Middle) A. ----------------- --------------------------------------------------------------------------------------------------- (Street) 5975 Castle Creek Parkway, North Drive ----------------- --------------------------------------------------------------------------------------------------- (City) Indianapolis ----------------- --------------------------------------------------------------------------------------------------- (State) IN ----------------- --------------------------------------------------------------------------------------------------- (Zip) 46250 ----------------- --------------------------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol ------------------------------------- ------------------------------------------------------------------------------- (Issuer Name) ITT Educational Services, Inc. ------------------------------------- ------------------------------------------------------------------------------- (Ticker or Trading Symbol) ESI ------------------------------------- ------------------------------------------------------------------------------- 3. I.R.S. or Social Security Number of Reporting Person (Voluntary) ---------------------- ---------------------------------------------------------------------------------------------- (I.D. Number) ---------------------- ---------------------------------------------------------------------------------------------- 4. Statement for Month/Year --------------- ----------------------------------------------------------------------------------------------------- (Month) January --------------- ----------------------------------------------------------------------------------------------------- (Year) 2001 --------------- ----------------------------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/Year) -------------- ------------------------------------------------------------------------------------------------------ (Month) -------------- ------------------------------------------------------------------------------------------------------ (Day) -------------- ------------------------------------------------------------------------------------------------------ (Year) -------------- ------------------------------------------------------------------------------------------------------ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X ------- ------------------------------------- ----------------------------------------------------------------------- / / (Director) ------- ------------------------------------- ----------------------------------------------------------------------- /X/ (Officer, Include title) Senior Vice President and Chief Financial Officer ------- ------------------------------------- ----------------------------------------------------------------------- / / (10% Owner) ------- ------------------------------------- ----------------------------------------------------------------------- / / (Other, specify) ------- ------------------------------------- ----------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) X ------- ------------------------------------------------------------------------------------------------------------- /X/ Form filed by One Reporting Person ------- ------------------------------------------------------------------------------------------------------------- / / Form filed by More than One Reporting Person ------- -------------------------------------------------------------------------------------------------------------
- --------------------------------------------------------------------------------------------------------------------------------- TABLE I - NON-DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- 1.Title of Security 2.Transac- 3. Transaction 4. Securities Acquired 5. Amount of 6. Owner- 7. Nature of (Instr.3) tion Date Code (Instr.8) (A) or Disposed of (D) Securities ship Form: Indirect (Month/ (Instr. 3,4, and 5) Beneficially Direct (D) Beneficial Day/Year) -------------------------------------------- Owned at End or Indirect Ownership Code V Amount (A) or Price of Month (I)(Instr.4) (Instr.4) (D) (Instr. 3 & 4) - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- Common 1/23/01 A V 1,697 A 9,953 D shares shares - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- 534 shares (1) I By 401(k) Plan - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ---------------- - --------------------------- ----------- -------- ------- --------- -------- -------- -------------- ------------- ----------------
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 Instructions 4(b)(v). Page 1 of 2 - -------------------- FORM 4 (CONTINUED) - --------------------
- --------------------------------------------------------------------------------------------------------------------------------- TABLE II - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - --------------------------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------------------------- 1. Title of 2. Conversion 3. Transaction 4. Transaction 5. Number of Derivative Securities 6. Date Exercisable and Derivative or Exercise Date Code (Instr.8) Acquired (A) or Disposed of (D) Expiration Date Security Price of (Month/Day/Year) (Instr.3, 4, and 5) (Month/Day/Year) (Instr.3) Derivative Security ------------------------------------------------------------------------------------- Code V (A) (D) Date Expiration Date Exercisable - --------------------------------------------------------------------------------------------------------------------------------- Stock Option $19.438 1/23/01 A 6,666 1/23/02 1/25/11 (Right to Buy) (2) - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- Stock Option $19.438 1/23/01 A 6,666 1/23/03 1/25/11 (Right to Buy) (2) - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- Stock Option $19.438 1/23/01 A 6,667 1/23/04 1/25/11 (Right to Buy) (2) - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ---------------- - -------------- -------------- ---------------- -------- ------- ------------------------- --------- --------------- ----------------
- ------------------------------------------------------------------------------------------------------------------------------ TABLE II CONTINUED - DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------ 7. Title and Amount of Underlying 8. Price of 9. Number of 10. Ownership Form 11. Nature of Indirect Securities (Instr.3 and 4) Derivative Derivative Securities of Derivative Beneficial Ownership Security Beneficially Owned at Security: Direct (Instr.4) - ------------------------------------- (Instr.5) End of Month (Instr.4) (D) or Indirect Title Amount or (I) (Instr.4) Number of Shares - ------------------------------------------------------------------------------------------------------------------------------ Common Stock 6,666 - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- Common Stock 6,666 - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- Common Stock 6,667 20,000 D - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- ------------------------- - --------------------- --------------- ----------------- ----------------------- -------------------- -------------------------
Explanation of Responses: (1) From February 1, 2000 through January 15, 2001, the reporting person acquired 256 shares of ESI common stock under the ESI 401(k) plan. (2) Options awarded under the 1997 ITT Educational Services, Inc. Incentive Stock Plan, a Rule 16b-3 plan. /s/ Gene A. Baugh 2/1/01 **Intentional misstatements or omissions of facts constitute Federal ----------------------------------- ---------------- Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a.). **Signature of Reporting Person Date Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, SEE Instructions 6 for procedure. Potential persons who are to respond to the collection of information Contained in this form are not required to respond unless the form displays a currently valid OMB Number. - ------------------------------------------------------------------------------------------------------------------------------ To view the actual filing form and general Instructions go to: www.sec.gov/smbus/forms/form4.htm - ------------------------------------------------------------------------------------------------------------------------------
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