UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options | 04/15/2009(2) | 06/05/2018 | Common Stock | 25,000 | $ 8.96 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Conrad E. Brad 3250 BRIARPARK DRIVE SUITE 400 HOUSTON, TX 77042 |
 |  |  Chief Accounting Officer |  |
/s/ Michael E. Keller, as Attorney-in-Fact | 10/18/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Restricted stock granted to Mr. Conrad on June 5, 2008 pursuant to a Restricted Stock Agreement by and between Mr. Conrad and the Company. The shares remain subjet to certain forfeiture restrictions purusant to said agreement until the 3rd and 4th anniversary date of Mr. Conrad's hire date (April 15, 2008), when said restrictions lapse as to 6250 shares on each such anniversary date. |
(2) | Options vest over a 4 year period; with the first two tranches of 6250 options each vesting on April 15th of 2009 and 2010; with the remaining two tranches of 6250 options vesting on April 15th of 2011 and 2012. |