UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Option | Â (2) | 07/01/2023 | Common Stock | 5,000 | $ 27.37 | D | Â |
Stock Option | Â (3) | 09/26/2023 | Common Stock | 6,250 | $ 21.78 | D | Â |
Stock Option | Â (4) | 06/30/2024 | Common Stock | 11,100 | $ 36.25 | D | Â |
Stock Option | Â (5) | 06/30/2025 | Common Stock | 11,100 | $ 33.12 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NIEMANN BRADLEY V. 3451 PLANO PKWY LEWISVILLE, TX 75056 |
 |  |  President Biostim |  |
/s/ Jeffrey M. Schumm, by power of attorney | 03/21/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Represents (i) 627 shares directly owned; (ii) 13,475 time-based restricted stock awards in which 4,850 shares, 5,850 shares, 1,850 shares and 925 shares will vest in the remainder of 2016, 2017, 2018 and 2019 respectively; and (iii) 14,800 performance-based restricted stock awards of 7,400 shares granted under both the 2014 Performance Vesting Restricted Stock Grant Agreement and the 2015 Performance Vesting Restricted Stock and Performance Share Unit Grant Agreement. |
(2) | These stock options vest in 50% increments on July 1, 2016 and 2017. |
(3) | These stock options vest in 50% increments on September 26, 2016 and 2017. |
(4) | These stock options vest in 25% increments on the first, second, third and fourth anniversaries of the grant date, June 30, 2014. |
(5) | These stock options vest in 25% increments on the first, second, third and fourth anniversaries of the grant date, June 30, 2015. |