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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 | (1) | 10/01/2010 | A | 14,421 | (2) | (2) | common stock | 14,421 | $ 0 | 14,421 | D | ||||
Incentive restricted stock units | (1) | 10/01/2010 | A | 14,421 | (2) | (2) | common stock | 14,421 | $ 0 | 14,421 | D | ||||
Stock options (right to buy) | $ 12 | 10/01/2010 | A | 3,933 | (3) | 10/01/2020 | common stock | 3,933 | $ 0 | 3,933 | D | ||||
Stock options (right to buy) | $ 15 | 10/01/2010 | A | 3,933 | (3) | 10/01/2020 | common stock | 3,933 | $ 0 | 3,933 | D | ||||
Stock options (right to buy) | $ 22.69 | 10/01/2010 | A | 1,967 | (3) | 10/01/2020 | common stock | 1,967 | $ 0 | 1,967 | D | ||||
Stock options (right to buy) | $ 26.68 | 10/01/2010 | A | 1,967 | (3) | 10/01/2020 | common stock | 1,967 | $ 0 | 1,967 | D | ||||
Class A Warrant (right to buy) | $ 22.69 | 08/31/2010 | 08/31/2017 | common stock | 3,621 | 3,621 | D | ||||||||
Class B Warrant (right to buy) | $ 26.68 | 08/31/2010 | 08/31/2017 | common stock | 3,621 | 3,621 | D | ||||||||
Class A Warrant (right to buy) | $ 22.69 | 08/31/2010 | 08/31/2017 | common stock | 8 | 8 | I | By Self as Co-Trustee of the Green Family Trust | |||||||
Class B Warrant (right to buy) | $ 26.68 | 08/31/2010 | 08/31/2017 | common stock | 8 | 8 | I | By Self as Co-Trustee of the Green Family Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GREEN MICHAEL T 2925 BRIARPARK, SUITE 1050 HOUSTON, TX 77042 |
Senior VP - Operations |
/s/ Stephanie A. Collins, as Attorney-in-Fact for M. Terry Green | 10/28/2010 | |
**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) | Each restricted stock unit and incentive restricted stock unit was granted under the Company's Management Equity Incentive Plan. Each restricted stock unit represents the right to receive without payment one common share of the Company, and each incentive restricted stock unit represents the right to receve without payment 0.35020 common shares of the Company upon satisfaction of the performance goal. In the sole discretion of the Company's Board of Directors (or a designated committee thereof), upon vesting, the restricted stock units and the incentive restricted stock units may be paid in shares of common stock or the cash equivalent. |
(2) | The restricted stock units and incentive restricted stock units vest as to one-twelfth (1/12) of the shares subject thereto on each of the first twelve (12) quarterly anniversaries of October 1, 2010. |
(3) | The option vests as to one-twelfth (1/12) of the shares subject thereto on each of the first twelve (12) quarterly anniversaries of October 1, 2010. |