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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wadsworth Kip L 20810 FERNBUSH LANE HOUSTON, TX 77073 |
X |
Roger M. Barzun | 05/11/2012 | |
**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) | These shares were awarded to the Reporting Person by the Company pursuant to his employment agreement with a subsidiary of the Company. The award is subject to an agreement providing restrictions and other conditions on the resale of the shares as well as for their possible forfeiture under certain circumstances. |
(2) | This amendment to the May 8, 2012 Form 4 of the Reporting Person and the amendment preceding it was caused by multiple errors in the reported closing price of the Company's common stock on May 8, 2012, the basis of the calculation of the number of shares issued to the Reporting Person. On May 9, 2012, NASDAQ reported the May 8 closing price as $9.70 per share; on May 10, 2012 NASDAQ changed the May 8 closing price to $9.38 per share; and later in the day on May 10, 2012 NASDAQ changed the May 8 closing price back to $9.70 per share. NASDAQ has assured the Company that $9.70 is in fact the correct closing price. Accordingly, the original May 8, 2012 Form 4 was correct. |