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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 | ||||||||
Employee Stock Option | $ 9 | 02/11/2018 | M | 5,000 | (6) | 02/21/2020 | Common Stock | 5,000 | $ 0 | 0 | D | ||||
Employee Stock Option | $ 8.21 | 02/11/2018 | M | 10,000 | (7) | 03/07/2018 | Common Stock | 10,000 | $ 0 | 0 | D | ||||
Employee Stock Option | $ 19.71 | 02/11/2018 | M | 5,327 | (8) | 02/10/2019 | Common Stock | 5,327 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Robinson Bradley M 5400 LBJ FREEWAY SUITE 1500 DALLAS, TX 75240 |
CTO, SVP-Reservoir Engineering |
/s/ Bradley M. Robinson, by Kyle A. Ellis as attorney-in-fact | 02/13/2018 | |
**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) | Includes 18,342 shares of restricted stock granted to the reporting person on February 15, 2017 that vest in equal annual installments on the first, second and third anniversaries of the date of grant. |
(2) | Includes 16,287 shares of restricted stock granted to the reporting person on February 19, 2016 that vest on the third anniversary of the date of grant. |
(3) | Represents shares withheld by the Issuer in connection with the reporting person's net share settlement to satisfy the exercise price and tax liability upon the exercise of 5,000 employee stock options that were granted to the reporting person on February 22, 2010. No shares were sold by the reporting person to satisfy the exercise price or the tax liability. |
(4) | Represents shares withheld by the Issuer in connection with the reporting person's net share settlement to satisfy the exercise price and tax liability upon the exercise of 10,000 employee stock options that were granted to the reporting person on March 8, 2013. No shares were sold by the reporting person to satisfy the exercise price or the tax liability. |
(5) | Represents shares withheld by the Issuer in connection with the reporting person's net share settlement to satisfy the exercise price and tax liability upon the exercise of 5,327 employee stock options that were granted to the reporting person on February 11, 2014. No shares were sold by the reporting person to satisfy the exercise price or the tax liability. |
(6) | The employee stock options vested in four equal annual installments and were fully vested as of February 22, 2014. |
(7) | The employee stock options vested in two equal biennial installments and were fully vested as of March 8, 2017. |
(8) | The employee stock options vested in two equal biennial installments and were fully vested as of February 11, 2018. |