- Initial Statement of Beneficial Ownership (3)
February 26 2009 - 12:01PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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1. Name and Address of Reporting Person
*
Thompson Patrick
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2. Date of Event Requiring Statement (MM/DD/YYYY)
2/17/2009
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3. Issuer Name
and
Ticker or Trading Symbol
SHAW GROUP INC [SGR]
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(Last)
(First)
(Middle)
4171 ESSEN LANE
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
___
X
___ Officer (give title below)
_____ Other (specify below)
(See below) /
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(Street)
BATON ROUGE, LA 70809
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
(1)
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54639
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D
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Employee Stock Option (Right to Buy)
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1/1/2010
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10/31/2018
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Common Stock
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36203
(2)
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$17.89
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D
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Employee Stock Option (Right to Buy)
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1/1/2009
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10/3/2017
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Common Stock
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11510
(3)
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$67.19
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D
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Employee Stock Option (Right to Buy)
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11/1/2007
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12/7/2016
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Common Stock
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30440
(4)
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$26.70
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D
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Employee Stock Option (Right to Buy)
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10/13/2006
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10/13/2015
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Common Stock
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29000
(5)
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$20.76
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D
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Employee Stock Option (Right to Buy)
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10/13/2005
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10/13/2014
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Common Stock
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41000
(6)
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$12.66
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D
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Restricted Stock Units
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(7)
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(7)
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Common Stock
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6201
(8)
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$0.00
(9)
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D
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Restricted Stock Units
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(10)
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(10)
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Common Stock
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22065
(8)
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$0.00
(9)
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D
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Restricted Stock Units
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(11)
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(11)
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Common Stock
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14673
(8)
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$0.00
(9)
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D
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Explanation of Responses:
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(
1)
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Of the 54,639 total shares owned by the reporting person, 43,992 shares are owned directly by the reporting person; 3,625 shares are restricted shares yet to vest that were part of an award originally made on January 27, 2006 and vesting in four equal annual installments of 25% each; and 7,022 shares are restricted shares yet to vest that were part of an award originally made on November 1, 2006 and vesting in four equal installments of 25% each.
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(
2)
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This stock option grant was made on October 31, 2008, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal installments of 25% each commencing on January 1, 2010.
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(
3)
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This stock option grant was made on December 7, 2007, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal installments of 25% each commencing on January 1, 2009.
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(
4)
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This stock option grant was made on November 1, 2006, under the Company's 2001 Employee Incentive Compensation Plan and vests in four equal installments of 25% each commencing on November 1, 2007.
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(
5)
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This stock option grant was made on October 13, 2005, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal installments of 25% each commencing on October 13, 2006.
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(
6)
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This stock option grant was made on October 13, 2004, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal annual installments of 25% each commencing on October 13, 2005.
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(
7)
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This restricted stock unit award was made effective December 7, 2007, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal annual installments of 25% each commencing on January 1, 2009.
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(
8)
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This number is the total number of restricted stock units granted.
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(
9)
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Each restricted stock unit represents a contingent right to receive one share of the Company's no par value common stock.
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(
10)
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This restricted stock unit award was made effective October 31, 2008, under the Company's 2001 Employee Incentive Compensation Plan and vests in four (4) equal annual installments of 25% each commencing on January 1, 2010.
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(
11)
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This restricted stock unit award was made effective October 31, 2008, under the Company's 2001 Employee Incentive Compensation Plan and vests in three (3) equal annual installments of 33% each commencing on January 1, 2010.
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Remarks:
Relationship of Reporting Person(s) to Issuer: Executive Vice President and Chief Administrative Officer.
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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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Thompson Patrick
4171 ESSEN LANE
BATON ROUGE, LA 70809
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(See below)
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Signatures
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/s/ Gilbert P. Thompson, Jr.
By power of attorney previously filed.
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2/26/2009
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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 5(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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