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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ESSL GERALD J 3811 TURTLE CREEK BLVD. STE #1100 DALLAS, TX 75219 |
Executive Vice President |
/s/ Scott M. Wilson as Attorney-in-Fact for Gerald J. Essl | 04/04/2018 | |
**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 reported transaction was effected for estate planning purposes. |
(2) | The reported transaction reflects a gift by the reporting person to the Garett G. Essl Trust, an irrevocable trust for the benefit of the reporting person's son. The reporting person and his wife act as trustees of the trust. |
(3) | In accordance with the issuer's Amended and Restated Incentive Plan, this price represents the closing price per share of Common Stock on the previous trading day. |
(4) | 2,687 shares were withheld by the issuer to satisfy income tax withholding requirements related to the lapsing of restrictions on (a) 930 shares of restricted stock awarded to the reporting person on May 18, 2017 (Form 4 filed on 5/22/2017); (b) 1,563 shares of restricted stock awarded to the reporting person on May 20, 2016 (Form 4 filed on 5/24/2016); (c) 987 shares of restricted stock awarded to the reporting person on June 10, 2015 (Form 4 filed on 5/10/2016); (d) 1,459 shares of restricted stock awarded to the reporting person on 6/03/2014 (Form 4 filed on 5/7/2015) and (e) 1,897 shares of restricted stock awarded to the reporting person on 8/12/2013 (Form 4 filed on 5/08/2014). Because the reporting person's restricted holdings have been included in the direct ownership Common Stock disclosed by the reporting person, the reporting person's direct ownership of Common Stock has been reduced by 2,687 shares to reflect this tax withholding. |