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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 | |
SMITH G STACY 300 CRESCENT COURT SUITE 1111 DALLAS, TX 75201 |
X |
/s/ Jan Webb, as Attorney in Fact | 02/17/2016 | |
**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) | THIS AMENDMENT IS BEING FILED TO AMEND THAT CERTAIN FORM 4, FILED MAY 5, 2015 (THE "ORIGINAL FORM 4"), IN ORDER TO CORRECT THE NUMBER OF SHARES ACQUIRED INDIRECTLY BY THE REPORTING PERSON IN THE ORIGINAL FORM 4 AND THE TOTAL SECURITIES OWNED AFTER SUCH TRANSACTION. SUCH CORRECTION ALSO AFFECTS (AND IS DEEMED TO ALSO CORRECT AND AMEND TO THE EXTENT NECESSARY) THE TOTAL SECURITIES OWNED (DIRECTLY OR INDIRECTLY) FOLLOWING ANY TRANSACTION OR REFLECTED AS A HOLDING IN ANY FORM 4 FILED SUBSEQUENT TO THE ORIGINAL FORM 4 BUT PRIOR TO DATE OF THIS AMENDMENT. PURSUANT TO GUIDANCE FROM THE SEC, ONLY THE LINE ITEM REQUIRING AMENDMENT IS RESTATED IN TABLE I ABOVE. ALL OTHER LINE ITEMS IN THE ORIGINAL FORM 4 (OTHER THAN WITH RESPECT TO THE NUMBER OF SECURITIES OWNED FOLLOWING ANY SUBSEQUENT TRANSACTION) REMAIN UNCHANGED. |
(2) | INCLUDES THE 9,000 SHARES REFLECTED IN THE ORIGINAL FORM 4 AS HELD INDIRECTLY THROUGH TRINITY INVESTMENT GROUP, THE GENERAL PARTNER OF SCW CAPITAL LP. THE ORIGINAL FORM 4 IS HEREBY FURTHER AMENDED TO DELETE THE LINE ITEM REFLECTING AN INDIRECT HOLDING THROUGH TRINITY INVESTMENT GROUP. |