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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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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(Print or Type Responses)
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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) | ||
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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 | ||||||||
| Sept 2012 Restricted Stock Unit Grant(1) | (1) | 09/30/2012 | A | 746 | (1) | (1) | Common Stock | 746 | $ 0 | 746 | D | ||||
| Sept 2012 Restricted Stock Unit Grant(1) | (1) | 09/30/2012 | M | 746 | (1) | (1) | Common Stock | 746 | $ 0 | 0 | D | ||||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| BARTH CARIN MARCY 4265 SAN FELIPE SUITE 610 HOUSTON, TX 77027 |
X | |||
| /s/ Francis B. Barron, as Attorney-in-Fact | 10/02/2012 | |
| ** Signature of Reporting Person |
Date
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| * | 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 Reporting Person is a director of the Issuer and elected to receive her director fees in the form of restricted common stock units ("RSUs") issued pursuant to the Issuer's 2012 Equity Incentive Plan. Pursuant to this arrangement, after each quarter, RSUs with a value equal to the fees payable for that quarter, calculated using the closing price on the New York Stock Exchange ("NYSE") on the last trading day of the quarter, are delivered to each eligible director who elected to receive RSUs in payment of the director fees. The RSUs settle in shares of common stock on the date of grant or a later date selected by the director. In this instance, the director elected the immediate settlement of the RSUs. |