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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DiSanto Michael 222 SOUTH MILL AVENUE #800 TEMPE, AZ 85281 |
Chief Admin. & Legal Officer |
Michael DiSanto /s/ James R. Todd, Attorney-in-Fact | 02/14/2017 | |
**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) | Consists of stock received in connection with Reporting Person's 2016 Management Bonus Program bonus payout. Reporting Person was also a participant in the 2016 Retention Program. Pursuant to the terms of the 2016 Retention Program, each participant could elect at the time of payment of the 2016 Management Bonus whether to take the Retention Program portion of payment in cash, stock, or some combination thereof. Reporting person elected to receive his entire Retention Program payment (or 50% of total fiscal 2016 bonus) in shares of the Company's common stock. |
(2) | This includes 363,843 unvested restricted stock units. |
(3) | The forfeiture reported in this row represents shares that were withheld by the Company solely for the purpose of satisfying tax obligations in connection with the issuance 28,193 of shares pursuant to the Retention Program. |
Remarks: Executed pursuant to the Limited Power of Attorney for Section 16 reporting obligations dated April 1, 2015. |