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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 | ||||||||
2010 May Director Stock Units (1) (3) | (4) | 05/06/2013 | M | 5,825 | (5) | (5) | Common Stock | 5,825 | $ 0 | 0 | D | ||||
2013 May Director Stock Units (3) | (4) | 05/06/2013 | A | 4,682 | (6) | (6) | Common Stock | 4,682 | $ 0 | 4,682 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KANGAS EDWARD A 1445 ROSS AVENUE SUITE 1400 DALLAS, TX 75202 |
X | Chairman |
/s/ Jeffrey S. McFall, Attorney-in-Fact for Edward A. Kangas | 05/08/2013 | |
**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) | All historical share data in this Form 4 have been restated to reflect a one-for-four reverse stock split effective as of October 11, 2012. |
(2) | Scheduled conversion of previously reported 2010 May Director Stock Units on the third anniversary of the date of grant in accordance with the terms of the Company's 2008 Stock Incentive Plan. The reporting person settled the Stock Units for shares of the Company's common stock. |
(3) | These Stock Units were awarded under the Company's Stock Incentive Plan. |
(4) | Each Stock Unit is the economic equivalent of one share of the Company's common stock. |
(5) | The 2010 May Director Stock Units vested on the date of grant and were settled on the third anniversary of the date of grant in accordance with the terms of the Company's 2008 Stock Incentive Plan. The reporting person settled the Stock Units for shares of the Company's common stock. |
(6) | These Stock Units vested immediately on the grant date. The Stock Units will be settled on the third anniversary of the date of grant or upon termination of service (unless settlement has been deferred). The Stock Units may be settled in cash, stock or a combination of cash and stock. |