3: Initial statement of beneficial ownership of securities
Published on March 6, 2019
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Employee Stock Option (right to purchase) | (1) | 11/02/2022 | Common Stock | 78,438 | $ 0.93 | D | |
Stock Appreciaition Right | (2) | 02/28/2023 | Common Stock | 253,220 | $ 0.86 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DesAutels David 9800 RICHMOND AVENUE, SUITE 700 HOUSTON, TX 77042 |
Vice President |
Signatures
/s/David DesAutels, by Michael Silver, as attorney-in-fact | 03/05/2019 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Employee Stock Options vest in equal installments annually on November 2, 2018, November 2, 2019 and November 2, 2020. |
(2) | Stock Appreciation rights vest in equal installments annually on February 28, 2019, February 28, 2020 and February 28, 2021. |