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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GRAY WILLIAM GARRETT 2 GANSEVOORT ST, 9TH FLOOR NEW YORK, NY 10014 |
See Remarks |
/s/ Garrett Gray | 01/25/2019 | |
**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) | The shares of restricted stock vest as follows: one-half on January 24, 2021, one-fourth on January 24, 2022, and one-fourth on January 24, 2023. |
(2) | Includes 50,000 shares of restricted stock that were granted on March 2, 2016, as previously reported, and will vest as follows: (i) 33,334 shares vest on March 2, 2019; and (ii) 16,666 shares vest on March 2, 2020. Also includes 30,000 shares of restricted stock that were granted on December 15, 2016, as previously reported, and will vest as follows: (i) 22,500 shares vest on December 15, 2019; and (ii) 7,500 shares vest on December 15, 2020. Also includes 50,000 shares of restricted stock that were granted on January 30, 2018, as previously reported, and will vest as follows: (i) 25,000 shares vest on January 30, 2020; (ii) 12,500 shares vest on January 20, 2021; and (iii) 12,500 shares vest on January 30, 2022. Also includes 90,000 shares of restricted stock that were granted on January 24, 2019, as reported herein, and will vest as follows: (i) 45,000 shares vest on January 24, 2021; (ii) 22,500 shares vest on January 24, 2022; and (iii) 22,500 shares vest on January 24, 2023. |
Remarks: Principal Financial Officer, VP Finance and Accounting |