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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 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 | ||||||||
Restricted Stock Unit | $ 0 (2) | 04/04/2015 | M | 7,500 | (2) | (2) | Common Stock | 7,500 | $ 0 (2) | 37,500 | D | ||||
Restricted Stock Unit | $ 0 (2) | 04/04/2016 | M | 7,500 | (2) | (2) | Common Stock | 7,500 | $ 0 (2) | 22,500 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CLARK HOWARD LONGSTRETH JR 607 W. LYON FARM DRIVE GREENWICH, CT 06831 |
X |
/s/Amritpal Deol Attorney-in-Fact | 04/06/2016 | |
**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) | The number of derivative securities acquired reported in Column 4 and the numbers of shares reported in Column 5 of the Form 4 filed on January 4, 2016, were overstated by 5000 shares, which were transferred to an ex-spouse pursuant to a Separation Agreement. The correct numbers are set forth in Column 5 this Form. |
(2) | Represents the conversion upon vesting of restricted stock units into common stock on April 4, 2015 and April 4, 2016; 1,500 shares of each conversion were transferred to an ex-spouse pursuant to a Separation Agreement. These restricted stock units and the shares of common stock issued upon vesting of such units were acquired under the Company's 2014 Equity Incentive Plan, without payment by the reporting person. The remainder of the restricted stock units vest as follows: September 15, 2016-7,500; April 4, 2017-7,500; September 15, 2017-7,500. |