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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 | ||||||||
Restricted Stock Units | $ 0 | 02/06/2018 | A | 10,093 | (1) | (1) | Common Stock | 10,093 | $ 0 | 10,093 (3) | D | ||||
Restricted Stock Units | $ 0 | 02/06/2018 | M | 2,524 | (2) | (2) | Common Stock | 2,524 | $ 0 | 7,569 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HALL EUGENE A 56 TOP GALLANT ROAD P.O. BOX 10212 STAMFORD, CT 06904-2212 |
X | CEO |
/s/ Kevin Tang for Eugene A. Hall | 02/12/2018 | |
**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) | These performance-based RSUs were awarded on February 6, 2017 and vest in four substantially equal annual installments, commencing on 2/6/2018. This represents the actual number of RSUs awarded after the performance metric was certified. |
(2) | Represents shares acquired upon the vesting of the first installment of these RSUs on 2/6/2018. |
(3) | The original Form 4 filed on February 8, 2018 is amended by this Form 4 amendment to reflect the correct number of these performance-based RSUs held by the reporting person after the reported transactions. The original Form 4 erroneously reported that 20,186 and 17,662 of these performance-based RSUs were outstanding after the reported award and vesting transactions, respectively. The correct number of these performance-based RSUs held by the reporting person after such transactions are reported in this Form 4 amendment. The transactions listed in Table 1 and Table 2 of this Form 4 amendment are otherwise not new or revised. |