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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 Unit (RSU) | (1) | 01/02/2015 | A | 39,150 | (2) | 12/20/2017 | Common Stock | 39,150 | $ 0 | 39,150 | D | ||||
Stock Option (Right to Buy) | $ 1.04 | 01/02/2015 | A | 135,000 | (3) | 12/31/2024 | Common Stock | 135,000 | $ 0 | 135,000 | D | ||||
Performance Restricted Stock Units (PRSU) | (1) | 01/02/2015 | A | 4,350 | (4) | (5) | Common Stock | 4,350 | $ 0 | 4,350 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Barton Laura Lionetti 5215 WEST LAUREL STREET TAMPA, FL 33607 |
EVP & Director-Communications |
/s/ Laura L Barton | 01/06/2015 | |
**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) | RSU and PRSU represent a contingent right to receive one share of OMEX common stock. |
(2) | RSU vest in three equal annual installments on December 20, 2015, 2016 and 2017. |
(3) | Stock Options vest in one-third of the options granted on December 31, 2015 and 1/36th of the options granted monthly thereafter until December 31, 2017. |
(4) | Each PRSU vests upon achievement of annual performance criteria for the period ending December 15, 2015 in one-third of the units granted on each of December 20, 2015, 2016 and 2017. |
(5) | The PRSU expire on December 20, 2017, but will terminate on December 15, 2015, if the performance criteria are not met. |