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 (Right to Buy) | Â (3) | 09/09/2025 | Common Stock | 36,645 | $ 15.33 | D | Â |
Option (Right to Buy) | Â (4) | 02/03/2026 | Common Stock | 48,639 | $ 8.86 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Douglas Sean 10003 WOODLOCH FOREST DRIVE THE WOODLANDS, TX 77380 |
 |  |  Exec VP & CFO |  |
David M. Stryker, by Power of Attorney | 01/10/2017 | |
**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) | These shares are owned directly by the Sean Douglas Family Trust. The reporting person may be deemed to be the beneficial owner of these shares by virtue of being a trustee. The reporting person disclaims beneficial ownership of the shares held by the Sean Douglas Family Trust, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of any of the reported shares for purposes of Section 16 or for any other purpose. |
(2) | Represents shares held by Sean Douglas as Uniform Transfer to Minors Act custodian for two of the reporting person's children. The reporting person disclaims beneficial ownership of these shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of these shares for purposes of Section 16 or for any other purpose. |
(3) | This option became exercisable as to 12,215 shares on September 9, 2016 and becomes exercisable as to an additional 12,215 shares on September 9, 2017 and the remaining 12,215 shares on September 9, 2018. |
(4) | This option becomes exercisable as to 16,214 shares on February 3, 2017, an additional 16,213 shares on February 3, 2018 and the remaining 16,212 shares on February 3, 2019. |