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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 | |
ZYNGIER ALEXANDRE 5700 W. PLANO PARKWAY SUITE 3600 PLANO, TX 75093 |
/s/ Alexandre Zyngier | 07/27/2017 | |
**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 issuer issued these securities to Mr. Zyngier as compensation for serving on a committee of the Board of Directors. All of the shares are presently unvested. The shares will not vest to Mr. Zyngier until the earliest to occur of the following: (a) Mr. Zyngier's term as director ends due to death or disability; (b) Mr. Zyngier's term as director ends for reasons other than (i) his removal for cause or (ii) because of his voluntary decision to retire, resign, or refuse to stand for reelection; or (c) the issuer has a change of control, defined as the issuer selling more than 30% of its common stock to one entity. In the event Mr. Zyngier's term as director ends because he is removed for cause or because of his voluntary decision to retire, resign, or refuse to stand for reelection, any of these shares that have not yet vested will be forfeited and cancelled. |