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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 | ||||||||
Common Stock Warrants (right to buy) | $ 3.3 | 03/19/2009 | M | 107,321 (3) | 05/25/2004 | 05/25/2009 | Common Stock | 107,321 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEROD STEPHEN W 1000 LOUISIANA SUITE 5600 HOUSTON, TX 77002 |
EVP CORPORATE DEVELOPMENT |
David S. Elkouri, Attorney in Fact | 03/23/2009 | |
**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) | Acquisition of shares pursuant to a net exercise with prior approval of the company?s board of directors. |
(2) | Shares underlying warrants surrendered pursuant to a net exercise with prior approval of the company?s board of directors. |
(3) | Warrants surrendered pursuant to a net exercise with prior approval of the company?s board of directors. |
Remarks: The transactions set forth herein represent the net exercise of warrants acquired by the reporting person in May of 2004. In accordance with the terms of the warrant certificate, the reporting person has chosen to pay the exercise price of the warrants through the withholding of company shares. The terms of the warrants provide that they must be exercised by May 25, 2009 or they will expire. |