- Initial Statement of Beneficial Ownership (3)
27 October 2009 - 9:43AM
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
*
SWANSON MARK R.
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/21/2009
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3. Issuer Name
and
Ticker or Trading Symbol
RENAISSANCE LEARNING INC [RLRN]
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(Last)
(First)
(Middle)
2911 PEACH STREET
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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)
Chief Technology Officer /
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(Street)
WISCONSIN RAPIDS, WI 54495
(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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24059
(1)
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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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Stock Option
(2)
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(3)
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12/20/2009
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Common Stock
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2438
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$11.50
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D
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Stock Option
(2)
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(3)
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9/1/2010
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Common Stock
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2595
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$30.063
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D
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Stock Option
(2)
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(3)
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3/1/2011
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Common Stock
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2667
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$29.25
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D
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Stock Option
(2)
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(3)
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9/1/2011
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Common Stock
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2385
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$34.34
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D
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Stock Option
(2)
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(3)
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3/1/2012
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Common Stock
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2542
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$32.22
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D
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Stock Option
(2)
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(3)
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9/1/2012
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Common Stock
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4577
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$16.91
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D
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Stock Option
(2)
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(3)
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3/1/2013
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Common Stock
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4566
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$16.95
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D
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Explanation of Responses:
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(
1)
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Restricted Stock granted under the 1997 Stock Incentive Plan (the "Plan"). 11,189 shares are fully vested and the remaining 12,870 shares vest on the first through fourth anniversaries of their original grant date.
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(
2)
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Stock Option grant under the Plan.
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(
3)
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Options were due to become exercisable in four equal annual installments on the first through fourth anniversaries of the grant date. The vesting of these options was accelerated by the issuer on April 20, 2005 and all options are now exercisable.
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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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SWANSON MARK R.
2911 PEACH STREET
WISCONSIN RAPIDS, WI 54495
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Chief Technology Officer
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Signatures
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Mary T. Minch (pursuant to Power of Attorney filed herewith)
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10/26/2009
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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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