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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 | ||||||||
Incentive Stock Option | $ 4.41 | 11/14/2011 | 11/14/2018 | Common | 9,501 | 9,501 | D | ||||||||
Incentive Stock Option | $ 3.45 | 11/06/2012 | 11/06/2019 | Common | 4,551 | 14,052 | D | ||||||||
Incentive Stock Option | $ 1.56 | 12/13/2013 | 12/13/2020 | Common | 10,647 | 24,699 | D | ||||||||
Non Qualified Stock Option | $ 1.31 | 12/14/2011 | 12/14/2021 | Common | 5,000 | 29,699 | D | ||||||||
Incentive Stock Option | $ 2.31 | 01/02/2016 | 01/02/2013 | Common | 45,696 | 75,395 | D | ||||||||
Incentive Stock Option | $ 2.48 | 11/21/2016 | 11/21/2023 | Common | 44,000 | 119,395 | D | ||||||||
Incentive Stock Option | $ 7.79 | (2) | 03/13/2025 | Common | 38,511 | 157,906 | D | ||||||||
Non Qualified Stock Option | $ 7.79 | (3) | 03/13/2025 | Common | 38,511 | 196,714 | D | ||||||||
Incentive Stock Option | $ 5.29 | (4) | 11/23/2025 | Common | 16,635 | 213,052 | D | ||||||||
Restricted Stock Unit | $ 0 | (5) | 11/23/2018 | Common | 8,151 | 221,203 | D | ||||||||
Incentive Stock Option | $ 3.15 | (6) | 11/16/2026 | Common | 29,333 | 250,536 | D | ||||||||
Restricted Stock Unit | $ 0 | (7) | 11/16/2019 | Common | 19,551 | 270,087 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HOBACK BOYD E 141 UNION BOULEVARD, #400 LAKEWOOD, CO 80228 |
President, CEO |
Boyd E. Hoback | 07/26/2017 | |
**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 conversion upon vesting of restricted stock awards into common stock (the "Converted Common Stock "). The reporting person was granted 36,326 restricted stock units which vested on July 23, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(2) | The Incentive Stock Options vest in three equal annual installments with the first installment vesting March 13, 2016. |
(3) | These Non-Qualified Stock Options vest in three equal annual installments with the first installment vesting March 13, 2016. |
(4) | The Incentive Stock Options vest in three equal annual installments with the first installment vesting November 23, 2016. |
(5) | The reporting person was granted 12,227 restricted stock units of which 1/3 of the shares of the grant vested on November 23, 2016. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |
(6) | The Incentive Stock Options vest in three equal annual installments with the first installment vesting November 16, 2017. |
(7) | The reporting person was granted 19,551 restricted stock units on November 16, 2016 vesting at 1/3 of the total granted amount over three years. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission. |