Initial Statement of Beneficial Ownership (3)
October 30 2014 - 4:57PM
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
Estimated average burden
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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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1. Name and Address of Reporting Person
*
Alterman Louis M
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2. Date of Event Requiring Statement (MM/DD/YYYY)
10/28/2014
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3. Issuer Name
and
Ticker or Trading Symbol
EarthLink Holdings Corp. [ELNK]
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(Last)
(First)
(Middle)
1170 PEACHTREE STREET NE, SUITE 900
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
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X
___ Officer (give title below)
_____ Other (specify below)
EVP Strategy, Ops & Transform /
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(Street)
ATLANTA, GA 30309
(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)
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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
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36564
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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 Options
(1)
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9/12/2006
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9/12/2015
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Common Stock
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3000
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$10.36
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D
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Stock Options
(1)
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2/8/2009
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2/8/2018
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Common Stock
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1500
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$7.16
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D
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Stock Options
(2)
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2/16/2013
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2/16/2022
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Common Stock
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60366
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$7.51
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D
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Stock Options
(3)
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2/20/2014
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2/20/2023
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Common Stock
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59496
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$6.08
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D
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Restricted Stock Units
(4)
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10/1/2015
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10/1/2022
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Common Stock
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5000
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(4)
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D
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Restricted Stock Units
(5)
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2/16/2015
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2/16/2022
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Common Stock
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4813
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(5)
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D
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Restricted Stock Units
(6)
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2/20/2016
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2/20/2023
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Common Stock
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15720
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(6)
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D
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Restricted Stock Units
(7)
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2/20/2015
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2/20/2024
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Common Stock
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52886
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(7)
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D
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Explanation of Responses:
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(
1)
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Stock options are fully vested and exercisable.
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(
2)
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The stock options vest as follows: 15,091 vested on February 16, 2013, 15,092 vested on February 16, 2014,15,091 will vest on February 16, 2015 and 15,092 will vest on February 16, 2016.
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(
3)
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The stock options vest as follows: 14,874 vested on February 20, 2014 and 14,874 will vest on each of February 20, 2015, February 20, 2016 and February 20, 2017.
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(
4)
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The Restricted Stock Units vest and become exercisable on October 1, 2015. Vested Restricted Stock Units will be converted and distributed to the Reporting Person, without payment, in shares of Common Stock on a unit-for-share basis.
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(
5)
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The Restricted Stock Units vest and become exercisable on February 16, 2015, depending on the level of successful completion of certain Company performance objectives. Vested Restricted Stock Units will be converted and distributed to the Reporting Person, without payment, in shares of Common Stock on a unit-for-share basis.
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(
6)
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The Restricted Stock Units vest and become exercisable on February 20, 2016. Vested Restricted Stock Units will be converted and distributed to the Reporting Person, without payment, in shares of Common Stock on a unit-for-share basis.
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(
7)
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50% of the Restricted Stock Units are performance-based and 50% are time-based. The time-based Restricted Stock Units vest ratably on each of February 20, 2015, February 20, 2016 and February 20, 2017. The performance-based Restricted Stock Units will be earned depending on the level of successful completion during 2014 of certain Company performance objectives, with full vesting of Restricted Stock Units earned on February 20, 2017. Vested Restricted Stock Units will be converted and distributed to the Reporting Person, without payment, in shares of Common Stock on a unit-for-share basis.
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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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Alterman Louis M
1170 PEACHTREE STREET NE, SUITE 900
ATLANTA, GA 30309
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EVP Strategy, Ops & Transform
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Signatures
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/s/ Louis M. Alterman
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10/30/2014
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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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