4: Statement of changes in beneficial ownership of securities
Published on January 11, 2021
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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 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) |
(e.g., puts, calls, warrants, options, convertible securities)
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 | ||||||||
Stock Option (Right to Buy) | $ 7.15 | 01/07/2021 | M | 100,000 | (3) | 04/20/2021 | Common Stock | 100,000.00 | $ 0 | 0 | I | By Aspen Select Opportunity Fund (2) | |||
Stock Option (Right to Buy) | $ 7.27 | 01/07/2021 | M | 10,000 | (4) | 05/25/2022 | Common Stock | 10,000.00 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 11.60 | 01/07/2021 | M | 3,017 | 06/01/2019 | 06/01/2023 | Common Stock | 3,017.00 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 22.52 | 01/07/2021 | M | 4,269 | 06/06/2020 | 06/06/2026 | Common Stock | 4,269.00 | $ 0 | 0 | D | ||||
Stock Option (Right to Buy) | $ 28.54 | 05/28/2021 | 05/28/2027 | Common Stock | 3,448.00 | 3,448 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
JONES STEVEN C 12701 COMMONWEALTH DRIVE SUITE 9 FORT MYERS, FL 33913 |
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Signatures
/s/ Steven Jones | 01/11/2021 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | This filing relates to the exercise of a stock option. No shares of Common Stock were sold by the Mr. Jones, and the shares of Common Stock received upon exercise of the stock option are subject to a lock-up agreement with BofA Securities, Inc, .Morgan Stanley & Co. LLC and Goldman Sachs & Co. LLC. |
(2) | Aspen Select Opportunity Fund is a private investment fund of which Aspen Capital Group, LLC is the sole general partner. Mr. Jones is a Managing Member of Aspen Capital Group, LLC. Mr. Jones disclaims beneficial ownership of such shares except to the extent of his respective pecuniary interests therein. |
(3) | On April 20, 2016, Mr. Jones was granted 100,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. On December 30, 2019, Mr. Jones transferred these options to Aspen Select Opportunity Fund, LP. |
(4) | On May 25, 2017, Mr. Jones was granted 10,000 stock options. The options vested ratably over the first three anniversary dates of the grant date. |