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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 | ||||||||
Stock Option | $ 7.53 | 08/30/2019(1) | 08/30/2029 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Option | $ 7.74 | 11/25/2019(2) | 11/25/2029 | Common Stock | 5,300 | 5,300 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ellis Arthur 700 BROOKER CREEK BLVD SUITE 1800 OLDSMAR, FL 34677 |
X |
/s/ Arthur Ellis | 09/17/2020 | |
**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) | On August 30, 2019, the reporting person was granted 20,000 stock options, vesting in three equal annual installments beginning on the date of grant. Effective September 15, 2020, the Compensation Committee accelerated the vesting of 6,667 stock options in connection with the reporting person no longer being a member of the Company's board of directors effective September 22, 2020. |
(2) | On November 25, 2019, the reporting person was granted 5,300 stock options, vesting in twelve equal monthly installments beginning on the date of grant. Effective September 15, 2020, the Compensation Committee accelerated the vesting of 883 stock options in connection with the reporting person no longer being a member of the Company's board of directors effective September 22, 2020. |