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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 | ||||||||
Incentive Stock Option (right to buy) | $ 17.17 | 11/15/2016 | M | 2,668 | 11/17/2006 | 11/17/2026 | Common Stock | 2,668 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 17.17 | 11/15/2016 | M | 6,331 | 11/17/2006 | 11/17/2026 | Common Stock | 6,331 | $ 0 | 0 | D | ||||
Non-Qualified Stock Option (right to buy) | $ 17.17 | 11/15/2016 | M | 1 | 11/17/2006(4) | 11/17/2026(4) | Common Stock | 1 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NAPOLITANO JASON A 3760 ROCKY MOUNTAIN AVENUE LOVELAND, CO 80538 |
COO, Chief Strategist and Sec. |
/s/ Jason A. Napolitano | 11/15/2016 | |
**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) | Includes one share jointly owned with Robert Grieve. |
(2) | Mr. Napolitano disclaims beneficial ownership of all securities of the Issuer owned by his wife. |
(3) | Mr. Napolitano offered to deliver 3,842 previously owned shares and $39.78 in cash to fulfill all exercise price and minimum statutory tax withholding obligations for stock option exercises referenced herein. |
(4) | Represents a combination of stock option exercises involving fractional shares: 0.7 shares at a price of $17.17 per share from a stock option granted on 11/17/06 exercisable on 11/17/2010 with an expiration date of 11/17/2016 and 0.3 shares at a price of $17.17 per share from a stock option granted on 11/17/06 exercisable on 11/17/2010 with an expiration date of 11/17/2016. |