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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 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 | ||||||||
Retention Units 2004-2006 | (1) | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý (2) | Ìý (2) | Common Shares | 4,260 | Ìý | 4,260 (3) | D | Ìý |
Retention Units 2005-2007 | (1) | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý (4) | Ìý (4) | Common Shares | 2,040 | Ìý | 2,040 (5) | D | Ìý |
Retention Units 2006-2008 | (1) | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý | Ìý (6) | Ìý (6) | Common Shares | 1,830 | Ìý | 1,830 (7) | D | Ìý |
Reporting Owner Name / Address | Relationships | |||
ÌýDirector | Ìý10% Owner | ÌýOfficer | ÌýOther | |
GUNNING DAVID H 1100 SUPERIOR AVENUE 15TH FLOOR CLEVELAND,ÌýOHÌý44114 |
Ìý X | Ìý | Ìý Vice Chairman | Ìý |
ÌýDavid H. Gunning | Ìý 10/30/2006 | |
**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) | Convertible into Common Shares on a 1-for-1 basis. |
(2) | Retention Units granted to Reporting Person under the ÐÇ¿Õ´«Ã½ Inc Long-Term Incentive Program covering the period of January 1, 2004 to December 31, 2006 (Retention Period). Retention units will be paid out to the Reporting Person in cash based on the market value price of the Common Shares of the Issuer on the last day of the Retention Period. |
(3) | On December 31, 2004 the common stock of Cleveland-CLiffs Inc split 2-for-1 resulting in the reporting person's acquisition of 1,065 additional retention units. On June 30, 2006, ÐÇ¿Õ´«Ã½ announced another 2-for-1 stock split, resulting in the reporting person's acquisition of 2,130 additional retention units. |
(4) | Retention Units granted to Reporting Person under the ÐÇ¿Õ´«Ã½ Inc Long-Term Incentive Program covering the period of January 1, 2005 to December 31, 2007 (Retention Period). Retention units will be paid out to the Reporting Person in cash based on the market value price of the Common Shares of the Issuer on the last day of the Retention Period. |
(5) | On June 30, 2006, the common stock of ÐÇ¿Õ´«Ã½ Inc split 2-for-1, resulting in the reporting person's acquisition of 1,020 additional retention units. |
(6) | Retention Units granted to Reporting Person under the ÐÇ¿Õ´«Ã½ Inc Long-Term Incentive Program covering the period of January 1, 2006 to December 31, 2008 (Retention Period). Retention units will be paid out to the Reporting Person in cash based on the market value price of the Common Shares of the Issuer on the last day of the Retention Period. |
(7) | On June 30, 2006, the common stock of ÐÇ¿Õ´«Ã½ Inc split 2-for-1, resulting in the reporting person's acquisition of 915 additional retention units. |