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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 | ||||||||
Restricted Stock Units | $ 0 (1) | 06/07/2016 | A | 20,362 (2) | 06/07/2019(3) | 06/07/2019 | Common Stock | 20,362 | $ 0 | 20,362 | D | ||||
Employee Stock Option (Right to Buy) | $ 16.21 | 06/07/2016 | A | 56,989 | 06/07/2017(4) | 06/07/2026 | Common Stock | 56,989 | $ 0 | 56,989 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Earle Edward Chipman 2103 CITY WEST BLVD. 4TH FLOOR HOUSTON, TX 77042 |
See Remarks |
/s/ E. Chipman Earle | 06/09/2016 | |
**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) | The conversion or exercise price of the security is 1 for 1. |
(2) | These Restricted Stock Unit awards are expressly subject to and contingent upon the approval by the Company's stockholders of a proposed amendment and restatement of the 2007 Long Term Incentive Plan at the Annual Meeting of Stockholders being held on Wednesday, August 3, 2016. |
(3) | Restricted Stock Units granted on June 7, 2016 vest on the third anniversary of the date of grant. |
(4) | Options granted on June 7, 2016 vest in three equal annual installments beginning on the first anniversary of the date of grant. |
Remarks: Senior Vice President and Chief Legal Officer |