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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 | |
Brodbeck Martin 350 FIFTH AVENUE 21ST FLOOR NEW YORK, NY 10118 |
Chief Technology Officer |
/s/ Heidi Garfield, Attorney-in-Fact | 02/19/2019 | |
**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) | On February 1, 2019, the Reporting Person acquired 7,912 shares of common stock upon the vesting of restricted stock units ("RSUs"). In connection with this vest, 2,800 shares were withheld by the Issuer to cover taxes due upon vesting of the RSUs and the remaining net 5,112 shares of common stock continue to be held by the Reporting Person. |
(2) | The amount of securities beneficially owned has been adjusted to reflect an additional 3,028 restricted stock units granted to the Reporting Person on August 29, 2018 pursuant to the antidilution provisions of the Issuer's Amended and Restated 2012 Omnibus Equity Incentive Plan. |
Remarks: This report on Form 4/A amends and replaces in its entirety the Form 4 filed by the reporting person on February 5, 2019. This report on Form 4/A is being filed solely to correct a typographical error in (i) the year of the earliest transaction in Item 3 and (ii) the year of the reportable transaction identified in Table I, Box 2, from 2018 to 2019. |