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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 | ||||||||
Employee Stock Option (Right to Buy) (5) | $ 6.83 | 12/04/2006 | 12/16/2008 | M | 25,481 | 12/04/2006 | 12/04/2016 | Common Stock | 25,481 | $ 0 | 149,519 | D | |||
Employee Stock Option (Right to Buy) (5) | $ 6.83 | 12/04/2006 | 12/17/2008 | M | 124,519 | 12/04/2006 | 12/04/2016 | Common Stock | 124,519 | $ 0 | 25,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RAIFORD ROBERT W 654 N. SAM HOUSTON PARKWAY E. SUITE 400 HOUSTON, TX 77060 |
CFO and Treasurer |
/s/ Robert W. Raiford | 06/18/2008 | |
**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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by Robert W. Raiford on December 14, 2007. |
(2) | The reporting person sold 35,481 shares in a series of transactions on June 16, 2008. In these transactions, the price received was $13.67 per share. |
(3) | The reporting person sold 124,519 shares in a series of transactions on June 17, 2008. In these transactions, the average price received was $13.7057 per share, with $13.67 being the lowest price received per share, and $13.75 being the highest price received per share. |
(4) | The reporting person sold 10,000 shares in a series of transactions on June 17, 2008. In these transactions, the average price received was $13.925 per share, with $13.92 being the lowest price received per share, and $13.93 being the highest price received per share. |
(5) | Options granted pursuant to the ENGlobal Corporation 1998 Incentive Plan. |