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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Option (right to buy) | $ 4.05 | 11/13/2009(13) | 11/13/2018 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 5.04 | 11/13/2010(13) | 11/13/2019 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 4.34 | 11/11/2011(13) | 11/11/2020 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 3.555 | 11/10/2012(13) | 11/10/2021 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 2.59 | 11/08/2013(13) | 11/08/2022 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 2.31 | 11/14/2014(13) | 11/14/2023 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 1.58 | 11/13/2015(13) | 11/13/2024 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 1.17 | 11/12/2016(13) | 11/12/2025 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 1.13 | 11/10/2017(13) | 11/10/2026 | Common Stock | 1,500 | 1,500 | D | ||||||||
Option (right to buy) | $ 2.22 | 11/09/2017 | A | 750 | 11/09/2018 | 11/09/2027 | Common Stock | 750 | (13) | 750 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WEIL JOHN D 200 N BROADWAY SUITE 825 ST LOUIS, MO 63102 |
X | X |
John D. Weil | 11/14/2017 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 53,577 fewer shares. |
(2) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 2,500 fewer shares. |
(3) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 94,428 fewer shares. |
(4) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 59,102 fewer shares. |
(5) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 7,926 fewer shares. |
(6) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 119,795 fewer shares. |
(7) | On December 7, 2016, the issuer effected a 1-for-2 reverse stock split resulting in the reporting person's ownership of 495,040 fewer shares. |
(8) | The reporting person disclaims any economic benefit in such shares. |
(9) | Owned by a trust for the benefit of the reporting person and for which the reporting person acts as co-trustee. |
(10) | Owned by a family limited partnership of which the reporting person acts as one of several general partners. Number of shares reported includes all shares held by limited partnership. The reporting person disclaims beneficial ownership of shares held by the limited partnership in excess of the reporting person's proportionate interest as determined pursuant to Rule 16a-1(2)(ii)(B). |
(11) | Owned by a corporation controlled by the reporting person. |
(12) | Owned by trusts for which the reporting person acts as co-trustee and with respect to which the reporting person disclaims any economic benefit in such shares. |
(13) | Options may not be exercised for a period of one year from the date of the grant and thereafter are exercisable in full. |