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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 | ||||||||
Employee Stock Option (right to buy) | $ 3.57 | 10/02/2014 | M | 153,000 | (6) | 12/07/2020 | Common Stock | 153,000 | $ 0 | 102,000 | D | ||||
Employee stock option (right to buy) | $ 1.43 | 10/02/2014 | M | 74,188 | 08/05/2010 | 10/02/2019 | Common Stock | 74,188 | $ 0 | 333,812 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Deckard Jenniffer D. 8834 MAYFIELD ROAD CHESTERLAND, OH 44026 |
X | President and CEO |
/s/ Jenniffer D. Deckard by David J. Crandall | 10/10/2014 | |
**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 3,400 shares were purchased with an agreed upon price of the initial public offering price less the underwriters' commission. As such, there were no profits realized in connection with the matchable sale on October 8, 2014 as those shares were sold for the same price. |
(2) | As trustee of the Jenniffer D. Deckard Family Trust U/A/D February 28, 2010 |
(3) | As trustee of the Abby Jo Deckard Trust |
(4) | As trustee of the John Deckard Trust |
(5) | The restricted stock units become exercisable on October 2, 2019 but will be subject to accelerated vesting upon the achievement of certain pre-established cumulative EBITDA targets. |
(6) | The stock options became exercisable as to: (i) 51,000 of the shares on 12/31/11, (ii) 51,000 of the shares on 12/13/12 and (iii) 51,000 of the shares on 12/31/13. The remaining 102,000 shares will become fully exercisable on 12/07/17, but will be subject to accelerated vesting upon the achievement of certain pre-established EBITDA targets. |