|
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 |
|
| ||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Options (right to buy) | $ 3.95 | 04/29/2016 | M | 5,834 | (3) | 12/11/2024 | Common Stock | 5,834 | $ 0 | 20,415 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Jury Dennis Charles 5 LOCHNESS AVENUE TORRENS PARK, C3 5062 |
Exec VP Operations & COO |
Dennis C. Jury | 05/02/2016 | |
**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) | Subsequent to April 29, 2016, the reporting period transferred these shares to the Jury Bain Superannuation Fund, a retirement fund of which the reporting person is a beneficiary. Following that transfer, the reporting person holds 0 shares directly, and the 223,338 share total held by the Superannuation Fund, as reported on the following line of Table I as indirectly owned, includes the shares previously owned directly by the reporting person and the transfer of 88,000 shares previously held indirectly through the reporting person's family trust. |
(2) | These shares are owned directly by the Jury Bain Superannuation Fund. |
(3) | Options granted on December 11, 2014 vest in 12 quarterly installments over three years, which vesting began on April 1, 2015 and will continue on the first day of each succeeding fiscal quarter (July 1, October 1, January 1 and April 1) through and including January 1, 2018. |