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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) | $ 0 | 07/01/2017 | M | 2,099 | (1) | (1) | Common Stock | 2,099 | $ 0 | 2,099 | D | ||||
Restricted Stock Units (3) | $ 0 | 07/01/2017 | M | 6,924 | (3) | (3) | Common Stock | 6,924 | $ 0 | 13,848 | D | ||||
Restricted Stock Unit (4) | $ 0 | 07/01/2017 | M | 8,699 | (4) | (4) | Common Stock | 8,699 | $ 0 | 26,095 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hand Judi 9197 S. PEORIA STREET ENGLEWOOD, CO 80112 |
EVP, CRO |
/s/ Margaret B. McLean, as Attorney-in-Fact for Judi Hand | 07/03/2017 | |
**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) | Reflects vesting of Restricted Stock Units ("RSUs") on July 1, 2017. The Reporting Person initially received 8,394 time-based RSUs on July 1, 2014 pursuant to performance criteria met on February 19, 2015. The RSUs vest 25% beginning on July 1, 2015. |
(2) | Reflects withholding of shares to satisfy tax obligations in connection with the vesting of RSUs. No shares were sold. |
(3) | Reflects vesting of Restricted Stock Units ("RSUs") on July 1, 2017. The Reporting Person initially received 27,696 time-based RSUs on July 1, 2015. The RSUs vest in four installments of 25% per year beginning on July 1, 2016. |
(4) | Reflects vesting of Restricted Stock Units ("RSUs") on July 1, 2017. The Reporting Person initially received 34,794 time-based RSUs on July 21, 2016. The RSUs vest in four installments of 25% per year beginning on July 1, 2017. |