|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCWATERS KIMBERLY J 16220 N. SCOTTSDALE ROAD SUITE 100 SCOTTSDALE, AZ 85254 |
X | Chief Executive Officer |
/s/ Kimberly J McWaters | 10/09/2013 | |
**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) | The Board of Directors approved the grant on September 5, 2013. The restricted stock units vest in four equal annual installments. |
(2) | Due to an administrative error in the calculation of the restricted stock units awarded on 9/5/13, the number of restricted stock units reported in the Form 4 filed on 9/9/13 was incorrect. This Amendment is filed (i) to correct the number of restricted stock units awarded to the reporting person reported in Column 4; (ii) to make the related correction to the amount in Column 5 for the reported transaction; and (iii) to make the related correction to the total number of directly held shares following any transactions that occurred after 9/9/13 and before the date of this Amendment, as reported in Column 5 of Table I of the related Form 4 filings. The amount in Column 5 of this Amendment is as of the transaction date and following the grant; it does not give effect to any transactions or filings subsequent to 9/ 9/13. |
Remarks: This Amendment does not repeat or amend any line-item holdings set forth in the original Form 4 filed on September 9, 2013 other than the transaction line set forth herein. |