- Statement of Changes in Beneficial Ownership (4)
07 Juli 2011 - 7:39PM
Edgar (US Regulatory)
FORM 4
[
X
]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
KELLNER TED D
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2. Issuer Name
and
Ticker or Trading Symbol
MARSHALL & ILSLEY CORP
[
MI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
770 NORTH WATER STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
7/5/2011
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(Street)
MILWAUKEE, WI 53202
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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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)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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7/5/2011
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D
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250000
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D
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(1)
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0
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D
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Common Stock
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7/5/2011
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D
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49998
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D
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(2)
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0
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I
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By Trust
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Common Stock
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7/5/2011
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D
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42067.74
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D
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(3)
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0
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I
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By Deferred Compensation Plan
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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)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Stock Option (Right to Buy)
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$21.9053
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7/5/2011
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D
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15032
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(4)
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4/22/2013
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Common Stock
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15032
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(4)
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0
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D
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Stock Option (Right to Buy)
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$32.8692
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7/5/2011
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D
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15032
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(5)
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4/25/2016
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Common Stock
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15032
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(5)
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0
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D
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Explanation of Responses:
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(
1)
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Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO"), pursuant to which, effective July 5, 2011, Marshall & Ilsley Corporation merged with and into a subsidiary of BMO (the "Merger"), in exchange for 31,425 shares of BMO common stock having a market value of $63.15 per share.
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(
2)
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Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 6,284 shares of BMO common stock having a market value of $63.15 per share.
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(
3)
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Disposed of pursuant to merger agreement between issuer and Bank of Montreal ("BMO") in exchange for 5,287 shares of BMO common stock having a market value of $63.15 per share.
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(
4)
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This option which vested on 4/22/2003, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 1,889 shares of BMO common stock for $174.27 per share.
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(
5)
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This option which vested on 4/25/06, the date of grant, was assumed by BMO in the Merger and replaced with an option to purchase 1,889 shares of BMO common stock for $261.49 per share.
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Remarks:
On July 5, 2011, Bank of Montreal ("BMO") and Marshall & Ilsley Corporation ("M&I") completed their previously announced transaction whereby M&I was merged (the "Merger") with and into a wholly-owned subsidiary of BMO ("Merger Sub"), with Merger Sub continuing as the surviving entity. Pursuant to the Merger Agreement dated December 17, 2010, as supplemented, by and among BMO, M&I and Merger Sub, in the Merger, each share of M&I common stock outstanding immediately prior to the merger was converted into the right to receive 0.1257 shares of BMO common stock. No fractional shares of BMO common stock will be issued in connection with the Merger, and holders of M&I common stock are entitled to receive cash in lieu thereof.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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KELLNER TED D
770 NORTH WATER STREET
MILWAUKEE, WI 53202
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X
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Signatures
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Jodi W. Rosenthal (as attorney-in-fact)
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7/7/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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