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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) | $ 6.75 | 12/29/2017 | M | 27,438 | (1) | 05/04/2025 | Common Stock | 27,438 | $ 0 | 13,719 | D | ||||
Employee Stock Option (right to buy) | $ 2.915 | 12/29/2017 | M | 2,791 | 03/08/2017 | 02/17/2026 | Common Stock | 2,791 | $ 0 | 78,436 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PICCONE JAMES M 1700 LINCOLN ST. SUITE 2800 DENVER, CO 80203 |
X | President |
/s/ James M. Piccone | 01/03/2018 | |
**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 options vested in two equal installments on May 5, 2016 and 2017. |
(2) | Represents shares surrendered to Issuer to cover tax withholding obligations of the Reporting Person upon the exercise of 30,229 incentive stock options issued pursuant to Issuer's 2009 Performance Incentive Plan. |
(3) | Represents shares surrendered to Issuer to cover tax withholding obligations of the Reporting Person upon the vesting of 21,768 shares of time-vesting restricted stock issued pursuant to the Issuer's 2009 Performance Incentive Plan. The vesting of the shares was accelerated pursuant to that certain Separation Agreement and Release dated January 1, 2018 between Issuer and the Reporting Person. |
(4) | Includes 21,767 shares of restricted stock subject to performance-vesting criteria, which vest in annual installments in accordance with such criteria through March 8, 2020. |
(5) | Includes 46,655 shares held by the Reporting Person in an IRA account. |