UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
OPTION | 02/24/2015 | 04/16/2024 | Common Stock | 10,000 | $ 6.95 | D | Â |
OPTION | 02/24/2016 | 04/16/2024 | Common Stock | 10,000 | $ 6.95 | D | Â |
OPTION | 02/24/2017 | 04/16/2024 | Common Stock | 10,000 | $ 6.95 | D | Â |
OPTION | 02/24/2018 | 04/16/2024 | Common Stock | 10,000 | $ 6.95 | D | Â |
OPTION | 08/15/2015 | 08/15/2024 | Common Stock | 6,666 | $ 4.78 | D | Â |
OPTION | 08/15/2016 | 08/15/2024 | Common Stock | 6,667 | $ 4.78 | D | Â |
OPTION | 08/15/2017 | 08/15/2024 | Common Stock | 6,667 | $ 4.78 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McInturff Jeffrey R 9721 COGDILL ROAD SUITE 302 KNOXVILLE, TN 37932 |
 |  |  CAO |  |
/s/ Jeffrey R. McInturff | 10/31/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Mr. McInturff was awarded a restricted stock grant of 10,000 shares in connection with his hiring. These shares vest over four years in equal installments of 2,500 shares beginning on 2/24/15 through 2/24/18. Mr. McInturff was also awarded a restricted stock grant of 5,000 shares in connection with an increase in his duties. These shares vest as follows: 1,666 shares vest on 8/15/15, 1,667 shares vest on 8/15/16 and 1,667 shares vest on 8/15/17. |