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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 | ||||||||
Stock Options (Right to Buy) | $ 4.33 | (3) | 11/22/2025 | Common Stock | 60,000 | 60,000 (3) | D | ||||||||
Stock Options (Right to Buy) | $ 6.5 | (4) | 02/28/2027 | Common Stock | 60,000 | 60,000 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cerminara Kyle 11422 MIRACLE HILLS DRIVE, SUITE 300 OMAHA, NE 68154 |
X | X | CEO and Chairman |
/s/ D. Kyle Cerminara | 08/14/2017 | |
**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) | Held as joint tenant with spouse. |
(2) | Held by the Fundamental Global entities. In addition, CWA Asset Management Group, LLC, of which 50% is owned by Fundamental Global Investors, LLC, also holds 1,104,340 shares of Common Stock for the accounts of individual investors. Due to his positions with Fundamental Global Investors, LLC and other Fundamental Global entities, Mr. Cerminara may be deemed to be a beneficial owner of the shares of Common Stock held by Fundamental Global. Mr. Cerminara disclaims beneficial ownership of the shares referred to herein except to the extent of his pecuniary interest therein. |
(3) | Stock Options granted under the Company's 2010 Long-Term Incentive Plan on November 22, 2015. The options become exercisable in five equal annual installments beginning on November 22, 2016, the first anniversary of the grant date. |
(4) | Stock Options granted under the Company's 2010 Long-Term Incentive Plan on February 28, 2017. The options become exercisable in five equal annual installments beginning on February 28, 2018, the first anniversary of the grant date. |