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 | ||||
Non-Qualified Stock Option (right to buy) | 07/20/2018 | 07/20/2022 | Common Stock | 1,000 (2) | $ 12.7 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LINDNER JEREMY 1401 LAWRENCE ST., STE.1200 DENVER, CO 80202 |
 |  |  Chief Credit Officer |  |
By: Lyne Andrich For: Jeremy Lindner | 02/16/2018 | |
**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) | Includes: i) 1771 unvested restricted shares, part of a 5315 ratably vesting restricted share award granted 7/20/2015. All unvested shares will vest on 7/20/2018; ii) 2226 unvested restricted shares, part of a 4839 ratably vesting restricted share award granted 3/7/2016. Unvested restricted shares will vest in equal parts on 3/7/2018 and 3/7/2019; iii) Includes 2860 unvested restricted shares relating to a ratably vesting restricted share award granted 3/7/2017. Unvested restricted shares will vest in equal parts on 3/7/2018, 3/7/2019 and 3/7/2020. |
(2) | Options vest ratably over a three year period from the date of grant. Of the original 2000 shares granted on 7/20/2015, 1334 have vested and 1000 were previously exercised. On 7/20/2018 the remaining unvested options will vest and become exercisable. The option expires no later than 7/20/2022. |