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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 | ||||||||
Performance Shares | (1) | 04/24/2017 | M | 3,507 | (1) | (1) | Common Stock | 3,507 | (1) | 0 | D | ||||
LTIP Units | (3) | 04/24/2017 | M | 25,218 | (3) | (3) | Common Stock | 25,218 | (3) | 50,434 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jaques Wade E 410 17TH STREET SUITE 1400 DENVER, CO 80202 |
VP, Chief Accounting Officer |
/s/ Roberta L. Louis, Attorney-in-fact for Wade E. Jaques | 04/26/2017 | |
**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) | Each performance share represented a contingent right to receive between 0% and 200% of a share based on the level of attainment of the applicable performance goal. The award was settled in shares on April 24, 2017. |
(2) | Represents shares withheld to satisfy tax withholding obligations arising on settlement of the performance shares referenced in footnote 1. |
(3) | Each LTIP unit represents a contingent right to receive one share based on the level of attainment of the applicable performance goal. One-third of the award was settled in shares on April 24, 2017. The remaining two-thirds of the award is scheduled to vest in equal installments on March 15, 2018 and March 15, 2019. |
(4) | Represents shares withheld to satisfy tax withholding obligations arising on settlement of the LTIP units referenced in footnote 3. |
(5) | Represents shares withheld to satisfy tax withholding obligations arising on vesting of restricted stock on March 15, 2017. |