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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 | ||||||||
2018 Restricted Stock Unit - 3/27/2018 | (3) | 03/27/2019 | M(1) | 18,750 | (4) | (4) | Common Stock | 18,750 (5) | $ 0 | 56,250 | D | ||||
2017 Restricted Stock Unit - 3/28/2017 | (3) | 03/28/2019 | M(2) | 18,750 | (6) | (6) | Common Stock | 18,750 (7) | $ 0 | 37,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HUNTER STEVEN L 2425 WEST LOOP SOUTH HOUSTON, TX 77027 |
EVP, COO - Gordmans |
/s/ R.E. Stasyszen, Attorney in Fact for Steven L. Hunter | 03/29/2019 | |
**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 the vesting and cash settlement of restricted stock units ("RSU") in accordance with the terms of the award agreement granted on March 27, 2018. |
(2) | Represents the vesting and cash settlement of restricted stock units ("RSU") in accordance with the terms of the award agreement granted on March 28, 2017. |
(3) | Each restricted stock unit (RSU) represents the right to receive, at settlement, cash equal to the fair market value of one share of the Issuer's common stock on the vesting date. Upon vesting, each cash settlement shall not exceed five times the per share fair market value of the Issuer's common stock on the grant date multiplied by the number of RSUs vesting. |
(4) | The RSUs vest 25% per year on the first four anniversary dates from the grant date of March 27, 2018. |
(5) | Represents the portion of the cash-settled RSUs granted on March 27, 2018 that vested on March 27, 2019. |
(6) | The RSUs vest 25% per year on the first four anniversary dates from the grant date of March 28, 2017. |
(7) | Represents the portion of the cash-settled RSUs granted on March 28, 2017 that vested on March 28, 2019. |