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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 | |
Alexander Eric 1658 COLE BLVD., BLDG. 6, SUITE 210 LAKEWOOD, CO 80401 |
VP Finance and Controller |
/s/ Eric Alexander | 02/14/2014 | |
**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 restricted stock reported in Table I was previously reported on Form 4 and is not a new grant of securities of the issuer. The 1,000,000 shares represent a grant of restricted stock under the Issuer's 2013 Equity Incentive Plan made to the reporting person on February 12, 2013. The vesting schedule is as follows: 333,334 shares on February 12, 2014, 333,333 shares on February 12, 2015, and 333,333 shares on February 12, 2016, subject to acceleration or forfeiture in certain circumstances. |
(2) | Represents the shares surrendered at the option of the reporting person to satisfy tax withholding liabilities in connection with the vesting of 333,334 shares of restricted common stock on February 12, 2014. |
(3) | The closing price of the Issuer's common stock on the OTC Markets' OTCQB on February 12, 2014, the vesting date of the 333,334 shares of restricted common stock. |
(4) | Includes 999,986 shares of restricted stock granted pursuant to the Issuer's equity incentive plans that has not vested. |