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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
| 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 control number. | SEC 1474 (9-02) | ||
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Restricted Stock Units | $ 0 | (2) | (2) | Common Stock | 5,250 (3) | 5,250 | D | ||||||||
| Stock Option (right to buy) | $ 18.6 (4) | 12/05/2006 | M | 14,115 | (5) | 12/12/2006 | Common Stock | 14,115 (4) | $ 0 | 0 | D | ||||
| Stock Option (right to buy) | $ 15.3333 (8) | (6) | 04/03/2010 | Common Stock | 7,500 (8) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 12.6333 (9) | (6) | 04/02/2011 | Common Stock | 7,500 (9) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 14.3 (10) | (6) | 05/13/2012 | Common Stock | 7,500 (10) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 22 (11) | (5) | 07/16/2007 | Common Stock | 7,500 (11) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 28.625 (12) | (7) | 07/17/2008 | Common Stock | 7,500 (12) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 22.125 (13) | (6) | 07/21/2009 | Common Stock | 7,500 (13) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 11.3333 (14) | (6) | 05/29/2013 | Common Stock | 7,500 (14) | 7,500 | D | ||||||||
| Stock Option (right to buy) | $ 18.94 (15) | (6) | 05/10/2014 | Common Stock | 3,750 (15) | 3,750 | D | ||||||||
| Stock Option (right to buy) | $ 17.94 (16) | (6) | 05/09/2015 | Common Stock | 3,750 (16) | 3,750 | D | ||||||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| GRUM CLIFFORD J 2525 STEMMONS FREEWAY DALLAS, TX 75207 |
X | |||
| Michael G. Fortado For: Clifford J. Grum | 12/06/2006 | |
| **Signature of Reporting Person | Date |
| * | If the form is filed by more than one reporting person, see Instruction 4(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). |
| (1) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in Deerfield Corporation's ownership of 1,500 additional shares of common stock. |
| (2) | Restricted Stock Units granted pursuant to Trinity Industries, Inc. Stock Option & Incentive Plan. Distribution is 1 for 1 in Trinity Stock after Director's termination. |
| (3) | On May 26, 2006, the common stock of Trinity Industries, Inc. split 3-for-2, resulting in the reporting person's ownership of 1,750 additional restricted stock units. |
| (4) | This option was previously reported as covering 9,410 shares at an exercise price of $27.90 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (5) | Option Term is Ten Years. Options vest over 5 years at twenty percent (20%) per year beginning on the first anniversary of the grant date. |
| (6) | Option Term is Ten Years. Options vest on the grant date. |
| (7) | Option Term is Ten Years. Options vest 50% on grant date and 50% on the first anniversary of the grant date. |
| (8) | This option was previously reported as covering 5,000 shares at an exercise price of $23.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (9) | This option was previously reported as covering 5,000 shares at an exercise price of $18.95 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (10) | This option was previously reported as covering 5,000 shares at an exercise price of $21.45 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (11) | This option was previously reported as covering 5,000 shares at an exercise price of $33.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (12) | This option was previously reported as covering 5,000 shares at an exercise price of $42.9375 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (13) | This option was previously reported as covering 5,000 shares at an exercise price of $33.1875 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (14) | This option was previously reported as covering 5,000 shares at an exercise price of $17.00 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (15) | This option was previously reported as covering 2,500 shares at an exercise price of $28.41 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |
| (16) | This option was previously reported as covering 2,500 shares at an exercise price of $26.91 per share, but was adjusted to reflect the stock split that occurred on May 26, 2006. |