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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 | ||||||||
Class B Common Stock | (1) | 03/11/2019 | G(2) | V | 22,036,245 | (1) | (1) | Class A Common Stock | 22,036,245 | (1) | 13,963,755 (2) | D (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ergen Two-Year March 2018 DISH GRAT 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
X |
Cantey M. Ergen, Trustee of the Ergen Two-Year March 2018 DISH GRAT, by Brandon Ehrhart, her Attorney-in-Fact | 03/13/2019 | |
**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) | On March 9, 2018, Mr. Charles W. Ergen established a Grantor Retained Annuity Trust ("GRAT"), the Ergen Two-Year March 2018 DISH GRAT (the "Two-Year March 2018 GRAT") and contibuted 36,000,000 Class B shares to the Two-Year March 2018 GRAT. The Two-Year March 2018 GRAT may elect to convert any or all of its Class B shares into an equal number of Class A shares at any time for no additional consideration. The Two-Year March 2018 GRAT is scheduled to expire in accordance with its terms on March 9, 2020. Mrs. Cantey M. Ergen serves as the trustee of such GRAT. |
(2) | Pursuant to the terms of the Two-Year March 2018 GRAT, 22,036,245 Class B shares were distributed as an annuity to Mr. Ergen on March 11, 2019. Following this distribution, the Two-Year March 2018 GRAT retained 13,963,755 Class B shares. |