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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 | $ 9.12 | 11/13/2018 | M(1) | 259,319 | (5) | (5) | Class A Non-Voting Common Stock | 259,319 | $ 0 | 715,867 | D | ||||
Restricted Stock Units | $ 9.12 | 11/13/2018 | M(1) | 64,000 | (5) | (5) | Class A Non-Voting Common Stock | 64,000 | $ 0 | 651,867 | D | ||||
Restricted Stock Units | $ 9.12 | 11/13/2018 | J(6) | 64,830 | (5) | (5) | Class A Non-Voting Common Stock | 64,830 | $ 0 | 587,037 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Grimshaw Stuart 2500 BEE CAVE RD, BLDG. 1, SUITE 200 ROLLINGWOOD, TX 78746 |
Chief Executive Officer |
/s/ Carrie Putnam, attorney in fact | 11/15/2018 | |
**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) | Restricted stock units convert into common stock on a one-for-one basis. |
(2) | Represents shares withheld to cover tax liability associated with the vesting of restricted stock units. |
(3) | Represents shares withheld to cover tax liability associated with the vesting of restricted stock award. |
(4) | The Total Non-Derivative Securities Beneficially Owned includes 100,000 unvested Restricted Stock Awards. |
(5) | The units vested on November 13, 2018 after specified performance goals were achieved. |
(6) | These units were forfeited on November 13, 2018 due to failure to achieve performance goals. |