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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units (1) | Â (1) | Â (1) | Common Stock | 197,368 | $ 0 (1) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McDonald Anthony K 11934 W. 75TH STREET ARVADA, CO 80005 |
 X |  |  |  |
/s/ Anthony K. McDonald | 09/14/2018 | |
**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) | This filing is being made as a result of the reporting person's appointment as a director of the Issuer on September 12, 2018. On September 12, 2018, in connection with the reporting person's appointment to the the Issuer's Board of Directors (the "Board"), the Board granted the reporting person a total of 394,736 restricted stock units ("RSUs"), which vest as follows: (i) 197,368 on the date of grant and are reflected in Table I above, and (ii) 197,368 on September 12, 2019, subject to his continued service through the vesting date, which are reflected in Table II above. The closing price of the Issuer's common stock as the grant date was $0.152. The grant of the RSUs and the issuance of shares of common stock upon vesting and settlement of the RSUs are transactions exempt from Section 16(b) of the Exchange Act. |