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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 | ||||||||
Stock Appreciation Rights (3) | $ 36.915 | 08/25/2014 | M | 16,000 | 09/20/2008(4) | 09/20/2014 | Common Stock | 16,000 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Thomas William R. 1111 BAGBY, SKY LOBBY 2 HOUSTON, TX 77002 |
X | Chairman & CEO |
Vicky Strom, Attorney-in-fact for William R. Thomas | 08/27/2014 | |
**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) | Represents the shares of the Issuer's Common Stock transferred to the Issuer in satisfaction of the exercise price of the SARs. |
(2) | Represents the shares of the Issuer's Common Stock withheld by the Issuer in payment of applicable taxes arising in connection with the reported SARs exercise. |
(3) | The exercise price of, and securities underlying, this grant have been adjusted in connection with the 2-for-1 stock split (in the form of a stock dividend) of the Issuer's Common Stock, effective March 31, 2014. |
(4) | The SARs became exercisable in 25 percent increments beginning one year from the September 20, 2007 date of grant and on the next three grant date anniversaries. The SARs became fully exercisable on September 20, 2011. |
Remarks: The Reporting Person elected to hold, and to not effect a contemporaneous open-market sale of, the 6,099 shares of the Issuer's Common Stock received by the Reporting Person in connection with the reported SARs exercise. The grant of SARs would have expired on September 20, 2014. |