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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 (3) (4) | $ 0 | 03/01/2019 | M | 66,439 (1) | (3) | (3) | Common Stock | 66,439 (1) | $ 0 | 132,878 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCOZZAFAVA RALPH P 2711 NORTH HASKELL AVENUE SUITE 3400 DALLAS, TX 75204 |
X | Chief Executive Officer |
Kay F. Stockler Attorney-in-Fact | 03/05/2019 | |
**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) | The Reporting Person received a total of 66,439 shares of Common Stock of the Issuer pursuant to the vesting of restricted stock units (RSUs). A total of 21,911 shares were surrendered to satisfy tax obligations of the Reporting Person, resulting in the issuance of a total of 44,528 net shares of Common Stock. |
(2) | The Reporting Person and his spouse serve as trustees and are beneficiaries of the Family Trust. |
(3) | These RSUs were awarded on 3/1/2018. The award vests annually, on a pro rata basis, over a 3-year period. |
(4) | RSUs convert into common stock on a one-for-one basis. |