Lexmark 2013 Annual Report Download - page 28

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Equity Compensation Plan Information
The following table provides information about the Company’s equity compensation plans as of December 31, 2013:
(Number of Securities in Millions)
Plan Category
Number of
Securities to be
Issued Upon
Exercise of
Outstanding
Options,
Warrants and
Rights
Weighted Average
Exercise Price of
Outstanding
Options, Warrants
and Rights (1)
Number of
Securities
Remaining
Available for
Future Issuance
Under Equity
compensation
Plans
Equity compensation plans approved by stockholders 6.0 (2) $ 60.81 10.2
(3)
Equity compensation plans not approved by stockholders (4) 0.1 42.33 0.0
Total 6.1 $ 60.40 10.2
(1) The numbers in this column represent the weighted average exercise price of stock options only
(2) Of the approximately 6.0 million shares outstanding under the equity compensation plans approved by stockholders, there were approximately
3.2 million stock options (of which 3,033,000 are employee stock options and 180,000 are nonemployee director stock options) and
approximately 2.8 million restricted stock units (“RSUs”) and deferred stock units (“DSUs”), including associated dividend equivalent units (of
which 2,561,000 are employee RSUs and DSUs and 268,000 are nonemployee director RSUs and DSUs). Performance-based RSUs granted in
2012 and 2013 were included at the target level of achievement. Refer to Part II, Item 8, Note 6 of the Notes to Consolidated Financial
Statements for more information.
(3) Of the 10.2 million shares available, 9.9 million relate to employee plans (of which 4.8 million may be granted as full-value awards) and 0.3
million relate to the nonemployee director plan.
(4) As of December 31, 2013, 72,000 shares remained outstanding (all of which are in the form of stock options) pursuant to awards made under the
Lexmark International, Inc. Broad-Based Employee Stock Incentive Plan (the “Broad-Based Plan”), an equity compensation plan which had not
been approved by the Company’s stockholders. On February 24, 2011, the Company’s Board of Directors terminated the Broad-Based Plan and
cancelled the remaining available shares that had been authorized for issuance under the Broad-Based Plan.
24