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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Stock Options (Right to Buy) | $ 42.04 | Â | Â | Â | Â | Â | 11/01/2012(2) | 11/01/2018 | Common Stock | Â | 2,500 | Â | ||
Stock Options (Right to Buy) | $ 36.87 | Â | Â | Â | Â | Â | 12/08/2012(2) | 12/08/2018 | Common Stock | Â | 5,090 | Â | ||
Stock Options (Right to Buy) | $ 34.5 | Â | Â | Â | Â | Â | 12/06/2013(2) | 12/06/2019 | Common Stock | Â | 5,980 | Â | ||
Stock Options (Right to Buy) | $ 38.97 | Â | Â | Â | Â | Â | 12/05/2014(2) | 12/05/2020 | Common Stock | Â | 6,860 | Â | ||
Stock Options (Right to Buy) | $ 30.59 | Â | Â | Â | Â | Â | 12/04/2015(2) | 12/04/2021 | Common Stock | Â | 9,440 | Â | ||
Stock Options (Right to Buy) | $ 7.74 | Â | Â | Â | Â | Â | 12/04/2016(2) | 12/04/2022 | Common Stock | Â | 27,590 | Â | ||
Depositary Shares (series B Mandatory Preferred Interest) | Â | Â | Â | Â | Â | Â | Â (3) | Â (3) | Common Stock | Â | 1,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Vick James W 10000 ENERGY DRIVE SPRING, TX 77389 |
 |  |  Senior Vice President |  |
/s/ Melissa D. McCarty, attorney-in-fact for Mr. Vick | 02/13/2017 | |
**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) | Purchased through the Company's 401(k) Plan from December 5, 2015, thru December 31, 2016. The information in this report is based on a plan statement dated February 10, 2017. |
(2) | Options become exercisable in three equal installments beginning on the first anniversary of the grant date specified in Column 3 or immediately upon death, disability, retirement at age 65 with required years of service, or a change in control. |
(3) | Each Depositary Share represents a 1/20th interest in a share of the Issuer's 6.25% Series B Mandatory Convertible Preferred Stock, $0.01 par value per share (the "Series B Preferred Stock"). At any time prior to January 15, 2018, a holder of 20 Depositary Shares may cause the conversion of one share of the Series B Preferred Stock into a number of shares of the Issuer's Common Stock equal to the minimum conversion rate of 37.0028, subject to adjustments for certain fundamental changes (as defined). Thus, each Depositary Share will convert into 1.85014 shares of Common Stock, subject to adjustment. On approximately January 15, 2018, the Depositary Shares mandatorily convert to Common Stock at a conversion rate ranging from 1.85014 to 2.1739 shares of Common Stock per Depositary Share (or a Series B Preferred Stock to Common Stock conversion rate ranging from 37.0028 to 43.4782 shares), subject to adjustment. |