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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 | ||||||||
Employee Stock Option (Right to Buy) | $ 19.64 | 06/16/2014 | M | 2,500 | (4) | 09/13/2017 | Common Stock | 2,500 | $ 0 | 54,787 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carley Stephen E. 6312 S. FIDDLER'S GREEN CIRCLE SUITE 200N GREENWOOD VILLAGE, CO 80111 |
X | Chief Executive Officer |
/s/ Michael L. Kaplan, Attorney-in-Fact | 06/16/2014 | |
**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) | Shares disposed of pursuant to a previously established Rule 10b5-1 trading plan. |
(2) | Includes 20,336 restricted stock units subject to vesting and forfeiture restrictions. |
(3) | The shares are held indirectly by the reporting person as co-trustee of The Carley Family Trust. |
(4) | The option exercised is a portion of the grant to the reporting person made on 9/13/2010 under the issuer's Amended and Restated 2007 Performance Incentive Plan. 25% of the option vested on 9/13/2011, and thereafter 75% of the option vests in 36 substantially equal monthly installments, with the first installment vesting on 10/13/2011 and an additional installment vesting on the 13th day of each of the 35 months thereafter. As of June 16, 2014, 56,050 shares of common stock underlying the option had vested. |