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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) |
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 | |
Lasher Jeff 5619 DTC PARKWAY, SUITE 900 GREENWOOD VILLAGE, CO 80111 |
CFO |
/s/ Jeffrey Lasher | 04/14/2022 | |
**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) | Pursuant to the Reporting Person's employment agreement, 10,000 shares of the Issuer's common stock vested as of April 12, 2022 (as previously disclosed in a Form 4 filed on January 7, 2022), of which 4,690 shares were withheld by the Issuer to satisfy the applicable tax withholding obligation. In addition, he will receive another 40,000 shares of common stock with the following vesting schedule: 10,000 shares as of October 12, 2022, 10,000 shares as of April 12, 2023, 10,000 shares as of October 12, 2023, and 10,000 shares as of April 12, 2024. |
(2) | Includes: (i) 5,629 shares of common stock vested on October 12, 2021; (ii) 5,310 shares of common stock vested on April 12, 2022; (iii) a total of 40,000 shares subject to the following vesting schedule: 10,000 shares as of October 12, 2022, 10,000 shares as of April 12, 2023, 10,000 shares as of October 12, 2023, and 10,000 shares as of April 12, 2024; and (iv) a total of 100,000 RSUs subject to the following vesting schedule: 25,000 RSUs as of December 15, 2022, 25,000 RSUs as of December 15, 2023, 25,000 RSUs as of December 15, 2024, and 25,000 RSUs as of December 15, 2025. |