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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, 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. | |||
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 | ||||||||
Restricted Stock Units | (2) | 05/08/2014 | M(1) | 3,000 (1) | 05/08/2014(1) | 01/01/2023 | Class A Common Stock | 3,000 | $ 0 | 12,000 | D | ||||
Restricted Stock Units | (2) | 05/08/2014 | M(1) | 3,000 (1) | 05/08/2014(1) | 01/01/2023 | Class A Common Stock | 3,000 | $ 0 | 12,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 36.4 | 05/08/2014 | M(4) | 6,000 | (6) | 01/01/2023 | Class A Common Stock | 6,000 | $ 0 | 24,000 | D | ||||
Employee Stock Option (Right to Buy) | $ 38.04 | 05/08/2014 | M(4) | 6,000 | (6) | 01/01/2023 | Class A Common Stock | 6,000 | $ 0 | 24,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shull David M 9601 S. MERIDIAN BLVD. ENGLEWOOD, CO 80112 |
EVP & Chief Commercial Officer |
/s/David M. Shull, by Brandon Ehrhart his Attorney in Fact | 05/12/2014 | |
**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 terms of the reporting person's restricted stock unit agreements, 6,000 restricted stock units vested on May 8, 2014. |
(2) | Each restricted stock unit converts into one share of stock upon vesting, which is issued to the reporting person immediately upon vesting. |
(3) | Represents shares withheld to cover certain tax obligations in connection with the vested restricted stock units listed in Table II. |
(4) | The transactions reported on this Form 4 were effected pursuant to a Rule 10B5-1 trading plan. |
(5) | By 401(k). |
(6) | The grant is subject to achievement of certain performance criteria prior to September 30, 2022 and will vest based on achievement of such criteria. The performance criteria are not tied to the market price of the Issuer's securities. |