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MI Marshall & Ilsley Corp

7.90
0.00 (0.00%)
15 Jul 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Marshall & Ilsley Corp NYSE:MI NYSE Ordinary Share
  Price Change % Change Share Price High Price Low Price Open Price Shares Traded Last Trade
  0.00 0.00% 7.90 0.00 01:00:00

- Initial Statement of Beneficial Ownership (3)

27/10/2010 3:29pm

Edgar (US Regulatory)


FORM 3
        
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

OMB APPROVAL
OMB Number: 3235-0104
Expires: February 28, 2011
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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
                      

1. Name and Address of Reporting Person *

Becker Richard

2. Date of Event Requiring Statement (MM/DD/YYYY)
10/20/2010 

3. Issuer Name and Ticker or Trading Symbol

MARSHALL & ILSLEY CORP [MI]

(Last)        (First)        (Middle)

770 N. WATER ST.

4. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                            _____ 10% Owner
___ X ___ Officer (give title below)          _____ Other (specify below)
Senior Vice President /

(Street)

MILWAUKEE, WI 53202       

(City)              (State)              (Zip)
5. 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 Beneficially Owned
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)
Common Stock   107934   (1) (2) D    
Common Stock   23914.2331   (3) I   By Deferred Compensation Plan  
Common Stock   183   I   By Child  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 4)
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
4. Conversion or Exercise Price of Derivative Security 5. Ownership Form of Derivative Security: 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)     (4) 12/20/2011   Common Stock   21379   $23.911   D    
Stock Option (Right to Buy)     (5) 10/25/2012   Common Stock   21379   $21.3665   D    
Stock Option (Right to Buy)     (6) 10/27/2013   Common Stock   16034   $26.0364   D    
Stock Option (Right to Buy)     (7) 10/27/2014   Common Stock   16034   $31.3949   D    
Stock Option (Right to Buy)     (8) 10/28/2015   Common Stock   16034   $32.046   D    
Stock Option (Right to Buy)     (9) 10/30/2016   Common Stock   14431   $35.975   D    
Stock Option (Right to Buy)     (10) 10/19/2017   Common Stock   18039   $31.4024   D    
Stock Option (Right to Buy)   10/29/2008   (11) 10/29/2018   Common Stock   20745   $18.66   D    

Explanation of Responses:
( 1)  10,854 of these shares were acquired as stock salary by the Reporting Person. The shares were fully vested at the time of grant, but are subject to transfer restrictions. One third of each of the respective stock salary shares will be released from the transfer restrictions on calendar year quarter end depending upon the respective grant dates. For more information, please see the Current Report on Form 8-K filed by the Company on December 29, 2009.
( 2)  50,221 of these shares were acquired as grants of restricted stock and are subject to the Reporting Person's continued employment with the Company and subject to accelerated vesting upon the death of the Reporting Person. These shares will be fully vested on the third anniversary of the date of grant for each respective award. However, as long as the Company is a "TARP recipient," as defined under the Interim Final Rules, these awards may become transferable only in 25% increments at the time of the Company's repayment of 25%, 50%, 75% and 100%, respectively, of the financial assistance it received under the U.S. Treasury's Capital Purchase Program, or as may be required to satisfy tax obligations incurred in connection with the vesting of the restricted shares.
( 3)  15,000 of these shares were acquired as grants of restricted stock and are subject to the Reporting Person's continued employment with the Company and subject to accelerated vesting upon the death of the Reporting Person. These shares will be fully vested on the third anniversary of the date of grant for each respective award. However, as long as the Company is a "TARP recipient," as defined under the Interim Final Rules, these awards may become transferable only in 25% increments at the time of the Company's repayment of 25%, 50%, 75% and 100%, respectively, of the financial assistance it received under the U.S. Treasury's Capital Purchase Program, or as may be required to satisfy tax obligations incurred in connection with the vesting of the restricted shares.
( 4)  Vests in three equal installments commencing on the first anniversary of the original grant date of 12/20/2001.
( 5)  Vests in three equal installments commencing on the first anniversary of the original grant date of 10/25/2002.
( 6)  Vests in three equal installments commencing on the first anniversary of the original grant date of 10/27/2003.
( 7)  Vests in three equal installments commencing on the first anniversary of the original grant date of 10/27/2004.
( 8)  Vests in three equal installments commencing on the first anniversary of the original grant date of 10/28/2005.
( 9)  Immediately exercisable upon original grant date of 10/30/2006.
( 10)  Immediately exercisable upon original grant date of 10/19/2007.
( 11)  100% Immediately Exercisable

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Becker Richard
770 N. WATER ST.
MILWAUKEE, WI 53202


Senior Vice President

Signatures
/s/ Jodi W. Rosenthal, attorney-in-fact for Mr. Becker 10/22/2010
** 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 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 control number.

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