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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 | ||||||||
Restricted Stock Units ("RSUs") | $ 0 (2) | 11/21/2020 | M | 70,505 | (3) | (3) | Common Stock | 70,505 | $ 0 | 211,517 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Baker Paula 2005 EAST INDIAN SCHOOL ROAD PHOENIX, AZ 85016 |
Chief Revenue Officer. |
/s/ Brad A. Gazaway, as Attorney-in-Fact for Paula F. Baker | 11/24/2020 | |
**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) | Represents shares of Common Stock sold to satisfy tax liability upon settlement of RSUs. |
(2) | Each RSU represents the contingent right to receive, upon vesting of the RSU, one share of the Issuer's Common Stock. |
(3) | Represents a grant of RSUs, of which 70,505 RSUs vested on November 21, 2020 and of which the remaining 211,517 RSUs will vest in three equal annual installments on November 21st of each of 2021, 2022 and 2023, subject to Ms. Baker's continuous employment or service with the Issuer or an affiliate until the applicable vesting date. |