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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 | ||||||||
2009 February Options (Right to Buy) (1) | $ 4.56 | 11/26/2012 | M | 30,000 | (4) | 02/26/2019 | Common Stock | 30,000 | $ 0 | 0 | D | ||||
2009 April Options (Right to Buy) (1) | $ 9 | 11/26/2012 | M | 30,000 | (5) | 04/30/2019 | Common Stock | 30,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cancelmi Daniel J 1445 ROSS AVENUE SUITE 1400 DALLAS, TX 75202 |
Chief Financial Officer |
/s/ Paul A. Castanon, Attorney-in-Fact for Daniel J. Cancelmi | 11/28/2012 | |
**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 and stock option exercise price data in this Form 4 have been restated to reflect a one-for-four reverse stock split effective as of October 11, 2012. |
(2) | Represents number of shares withheld by the Company at the direction of the reporting person for the payment of exercise price and taxes. No shares of Common Stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option (15,944 shares). |
(3) | Represents number of shares withheld by the Company at the direction of the reporting person for the payment of exercise price and taxes. No shares of Common Stock were sold by the reporting person in connection with this transaction. The reporting person has retained the net number of shares issued upon the exercise of the option (12,906 shares). |
(4) | As previously reported, the options were granted on February 26, 2009 and vested ratably on each of the first, second and third anniversaries of the date of grant. |
(5) | As previously reported, the options were granted on April 30, 2009 and vested ratably on each of the first, second and third anniversaries of the date of grant. |