FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HEARTLAND PAYMENT SYSTEMS INC [ HPY ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 12/07/2010 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.001 per share | 12/07/2010 | M | 65,184 | A | $8.88 | 65,184 | D(1) | |||
Common Stock, par value $0.001 per share | 12/07/2010 | S | 65,184 | D | $16.5772(2) | 0 | D(1) | |||
Common Stock, par value $0.001 per share | 12/08/2010 | M | 26,412 | A | $6.25 | 26,412 | D(3) | |||
Common Stock, par value $0.001 per share | 12/08/2010 | S | 26,412 | D | $16.394(4) | 0 | D(3) | |||
Common Stock, par value $0.001 per share | 12/09/2010 | M | 26,455 | A | $6.25 | 26,455 | D(3) | |||
Common Stock, par value $0.001 per share | 12/09/2010 | S | 26,455 | D | $16.4133(5) | 0 | D(3) | |||
Common Stock, par value $0.001 per share | 12/09/2010 | M | 48,029 | A | $8.88 | 48,029 | D(1) | |||
Common Stock, par value $0.001 per share | 12/09/2010 | S | 48,029 | D | $16.4133(5) | 0 | D(1) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (right to buy) | $0 | 12/07/2010 | M | 65,184 | 05/11/2010 | 05/11/2014 | Common Stock | 65,184 | $0 | 399,816 | D(1) | ||||
Stock Option (right to buy) | $0 | 12/08/2010 | M | 26,412 | 10/29/2007 | 10/29/2013 | Common Stock | 26,412 | $0 | 26,455 | D(3) | ||||
Stock Option (right to buy) | $0 | 12/09/2010 | M | 26,455 | 10/29/2007 | 10/29/2013 | Common Stock | 26,455 | $0 | 0 | D(3) | ||||
Stock Option (right to buy) | $0 | 12/09/2010 | M | 48,029 | 05/11/2010 | 05/11/2014 | Common Stock | 48,029 | $0 | 351,787 | D(1) |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. This Form 4 is filed in connection with a joint/group filing consisting of Mr. Carr and Jill Carr, Mr. Carr's wife. Mrs. Carr's address is c/o Heartland Payment Systems, Inc., 90 Nassau Street, Princeton, NJ 08542. Mr. and Mrs. Carr's indirect beneficial ownership consists of 400,000 shares of Company's common stock held by The Robert O. Carr 2001 Charitable Remainder Unitrust and 201,391 shares held by The Robert O. Carr 2000 Irrevocable Trust for Emily Carr. The reporting persons disclaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting persons are the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Mr. and Mrs. Carr have a fully vested option to purchase an additional 3,037 shares of the Common Stock. |
2. This price is the weighted average price of the 65,184 shares sold. The prices actually paid for the shares of the Company's Common Stock sold ranged from $16.42 to $16.81. The reporting person will provide to the issuer, any security holder of the issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid. |
3. This Form 4 is filed in connection with a joint/group filing consisting of Mr. Carr and Jill Carr, Mr. Carr's wife. Mrs. Carr's address is c/o Heartland Payment Systems, Inc., 90 Nassau Street, Princeton, NJ 08542. Mr. and Mrs. Carr's indirect beneficial ownership consists of 400,000 shares of the Issuer's common stock held by The Robert O. Carr 2001 Charitable Remainder Unitrust and 201,391 shares held by The Robert O. Carr 2000 Irrevocable Trust for Emily Carr. The reporting persons disclaim beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting persons are the beneficial owner of the securities for purposes of Section 16 or for any other purpose. Mr. and Mrs. Carr have fully vested options to purchase an additional 116,250 shares of the Common Stock. |
4. This price is the weighted average price of the 26,412 shares sold. The prices actually paid for the shares of the Company's Common Stock sold ranged from $16.30 to $16.55. The reporting person will provide to the issuer, any security holder of the issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid. |
5. This price is the weighted average price of the 74,484 shares sold. The prices actually paid for the shares of the Company's Common Stock sold ranged from $16.34 to $16.50. The reporting person will provide to the issuer, any security holder of the issuer or the SEC Staff, upon request, information regarding the number of shares sold at each price within the range of prices actually paid. |
/s/ Charles H.N. Kallenbach, as attorney-in-fact | 12/09/2010 | |
/s/ Charles H.N. Kallenbach, as attorney-in-fact | 12/09/2010 | |
** 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 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). | ||
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. |