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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 | ||||||||
Deferred Stock Units | (3) | 02/26/2018 | D | 13,861 | (2) | (2) | Common Stock | 13,861 | $ 0 | 0 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hausmann Robert C 2711 N. HASKELL AVENUE SUITE 2200 DALLAS, TX 75204 |
X |
/s/ Noah F. Webster, Attorney-in-Fact | 03/11/2019 | |
**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) | Grant under the 2018 Omnibus Incentive Plan (the "Plan"). The deferred stock units will vest pro-rata and quarterly over one year, and subject to acceleration under conditions described in the Plan. Delivery of the underlying shares in respect of vesting will occur pursuant to the underlying award agreement. |
(2) | On the Form 4/A filed on August 23, 2018, the reporting person elected to report on Table II 13,861 Deferred Stock Units ("DSUs") granted under the Amended and Restated 2012 Incentive Plan. Pursuant to guidance from the Securities and Exchange Commission, the reporting person has now elected to report these DSUs on Table I instead of Table II since the DSUs may be settled solely by delivery of an equal number of shares of the issuer's common stock. Therefore, the reporting person has moved the reporting of these 13,861 DSUs from Table II to Table I. |
(3) | Each deferred stock unit represents a contingent right to receive one share of ZIXI common stock. |