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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 | |
RIGGS LEONARD M JR 6200 S. SYRACUSE WAY STE 200 GREENWOOD VILLAGE, CO 80111 |
X |
/s/ Craig A. Wilson, Attorney-in-Fact for Leonard M. Riggs, Jr. | 08/21/2013 | |
**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) | These shares of common stock are held by Riggs Overall Partners, LP, the general partner of which is Riggs Management, Inc. Dr. Riggs, as the President and controlling shareholder of Riggs Management, Inc., may be deemed to have beneficial ownership of the shares held by Riggs Overall Partners, L.P. |
(2) | These shares of common stock are held by the Riggs II Family Limited Partnership, the general partner of which is Riggs Management, Inc. Dr. Riggs, as the President and controlling shareholder of Riggs Management, Inc., may be deemed to have beneficial ownership of the shares held by the Riggs II Family Limited Partnership. |
(3) | Represents 23,873 restricted stock units (RSUs). The Form 3 filed by Dr. Riggs on August 13, 2013 erroneously reported an extra three RSUs. |
(4) | Dr. Riggs disclaims beneficial ownership of such shares except to the extent of any pecuniary interest therein and this report shall not be deemed an admission that he is the beneficial owner of such shares of purposes of Section 16 or any other purpose. |