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) 06/18/2012 |
3. Issuer Name and Ticker or Trading Symbol
HEARTLAND PAYMENT SYSTEMS INC [ HPY ] |
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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) |
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 | ||||
Stock Option (right to buy) | (1) | 11/06/2014 | Common Stock | 12,500 | $12.16 | D | |
Stock Option (right to buy) | (2) | 07/22/2015 | Common Stock | 7,500 | $15.22 | D | |
Restricted Stock Units | (3) | (3) | Common Stock | 12,500 | (4) | D |
Explanation of Responses: |
1. 25,000 options were granted on November 6, 2009, vesting over a four year period. As of the date of this filing, 12,500 options have vested, and were exercised and sold. 6,250 options vest and become exercisable on November 6, 2012 and the remaining 6,250 options vest and become exercisable on November 6, 2013. |
2. 10,000 options were granted on July 22, 2010, vesting over a four year period. As of the date of this filing, 2,500 options have vested, and were exercised and sold. 2,500 options vest and become exercisable on July 22, 2012, 2,500 options vest and become exercisable on July 22, 2013 and the remaining 2,500 options vest and become exercisable on July 22, 2014. |
3. The restricted stock units vest in four equal annual installments beginning May 12, 2013. Vested shares will be delivered to the reporting person as soon as administratively practicable following the vesting of the restricted stock unit. |
4. Each restricted stock unit represents a contingent right to receive one share of Heartland Payment Systems, Inc.'s Common Stock. |
Remarks: |
/s/ Michael A. Lawler | 06/27/2012 | |
** 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. |