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Share Name | Share Symbol | Market | Type |
---|---|---|---|
Cornell Companies | NYSE:CRN | NYSE | Ordinary Share |
Price Change | % Change | Share Price | High Price | Low Price | Open Price | Shares Traded | Last Trade | |
---|---|---|---|---|---|---|---|---|
0.00 | 0.00% | 29.45 | 0.00 | 01:00:00 |
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
|
OMB APPROVAL
OMB Number: 3235-0287 Expires: February 28, 2011 Estimated average burden hours per response... 0.5 |
|
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 |
|
1. Name and Address of Reporting Person
*
Jones Andrew R |
2. Issuer Name
and
Ticker or Trading Symbol
CORNELL COMPANIES INC [ CRN ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__ X __ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below) |
274 RIVERSIDE AVENUE |
3. Date of Earliest Transaction
(MM/DD/YYYY)
|
|
WESTPORT, CT 06880 |
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_ 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
(Instr. 3) |
2. Trans. Date | 2A. Deemed Execution Date, if any |
3. Trans. 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 | 8/5/2010 | M | 15000 | A | $20.32 | 27703 | D | |||
Common stock | 8/5/2010 | M | 5000 | A | $22.68 | 32703 | D | |||
Common stock | 8/5/2010 | F | 14787.84 | D | $28.28 | 17915.16 | D | |||
Common stock | 8/5/2010 | D | .16 (1) | D | $28.28 (1) | 17915 (2) | D | |||
Common stock | 339599 | I | North Star Partners, LP (3) (5) | |||||||
Common stock | 369264 | I | North Star Partners II, LP (4) (5) |
Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities) |
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1. Title of Derivate Security
(Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any |
4. Trans. 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 |
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 of Derivative Security: 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) | $20.32 | 8/5/2010 | M | 15000 | (6) | 4/2/2017 | Common stock | 15000 | $0.00 | 0 | D | ||||
Stock option (right to buy) | $22.68 | 8/5/2010 | M | 5000 | (7) | 1/2/2018 | Common stock | 5000 | $0.00 | 0 | D |
Explanation of Responses: | |
( 1) | Amount disposed of represents a fractional share of the Issuer's common stock that resulted from the tender of option shares to pay the exercise prices for the options. In lieu of issuing a fractional share of its common stock, the Issuer distributed a cash payment equal to the fraction of a share to which the Reporting Person would otherwise be entitled. |
( 2) | The Registrant did not exercise the options for the 5,000 shares with an expiration date of January 2, 2019 or the 3,750 shares with an expiration date of January 4, 2020, as mistakenly reported in the Form 4 filed earlier today. |
( 3) | The reporting person may be deemed to have an indirect beneficial ownership interest in these shares as the sole manager of the general partner of North Star Partners, L.P., which directly beneficially owns these shares. |
( 4) | The reporting person may be deemed to have an indirect beneficial ownership interest in these shares as the sole manager of the general partner of North Star Partners II, L.P., which directly owns these shares. |
( 5) | The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of any shares of common stock covered by this statement. |
( 6) | This option became exercisable in four annual equal installments as follows: 3,750 on April 2, 2007; April 2, 2008; April 2, 2009; and April 2, 2010. |
( 7) | This option became exercisable in four equal installments as follows: 1,250 on January 2, 2008; April 1, 2008; July 1, 2008; and October 1, 2008. |
Reporting Owners
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Reporting Owner Name / Address |
|
||||
Director | 10% Owner | Officer | Other | ||
Jones Andrew R
274 RIVERSIDE AVENUE WESTPORT, CT 06880 |
X |
|
|
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Signatures
|
||
/s/ Cathryn L. Porter, by Power of Attorney | 8/9/2010 | |
** 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 control number. |
1 Year Cornell Chart |
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