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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KANDERS WARREN B C/O KANDERS & COMPANY, INC. ONE LANDMARK SQUARE SUITE 1730 STAMFORD, CT 06901 |
X | X | Executive Chairman |
/s/ Warren B. Kanders | 09/16/2020 | |
**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) | The 244,003 shares of Common Stock that are the subject of this award granted to Mr. Kanders under the Issuer's 2015 Stock Incentive Plan are fully vested as of the date of grant. The foregoing grant is issued to replace the 800,000 vested options originally granted to Mr. Kanders in December 2002, of which 400,000 options had an exercise price of $7.50 per share and 400,000 options had an exercise price of $10.00 per share, all of which expired in accordance with their terms without being exercised. |
(2) | Represents the number of shares withheld by the Issuer to satisfy the tax withholding obligations incurred by Mr. Kanders as a result of the vesting on the grant date of the Restricted Stock Award. |