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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 | ||||||||
Performance Shares | $ 0 | 01/09/2019 | M(1) | 2,598 (5) | (6) | (6) | Common Stock | 2,598 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fenoglio Scott A 410 - 17TH STREET, SUITE 1400 DENVER, CO 80202 |
SVP, Finance & Planning |
By: Roberta L. Louis, attorney-in-fact For: Scott A. Fenoglio | 01/11/2019 | |
**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) | Represents distribution of Issuer common stock upon partial vesting of performance stock units awarded on May 16, 2018. The partial vesting is based on the number of days during the applicable performance period that recipient remained employed by Issuer and on an assumed target level of performance by Issuer, in accordance with the terms of the Performance Stock Unit Agreement. |
(2) | Represents shares withheld to satisfy tax withholding obligations upon vesting of performance stock units. |
(3) | Represents shares withheld to satisfy tax withholding obligations upon vesting of restricted stock units. |
(4) | The securities were forfeited to the Issuer upon Reporting Person's termination of employment with the Issuer. |
(5) | Each performance stock unit represented a contingent right to receive one share of Issuer common stock. |
(6) | The performance stock units awarded vested on January 9, 2019. |