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 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 | ||||
Option (Right to Buy) | (1) | 02/01/2027 | Common Stock | 6,305 | $ 21.01 | D | |
Option (Right to Buy) | (2) | 02/07/2028 | Common Stock | 6,502 | $ 32.77 | D | |
Option (Right to Buy) | (3) | 02/06/2029 | Common Stock | 10,787 | $ 22.66 | D | |
Option (Right to Buy) | (4) | 02/13/2030 | Common Stock | 15,115 | $ 21.54 | D | |
Option (Right to Buy) | (5) | 02/17/2031 | Common Stock | 12,631 | $ 28.58 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lister Philip M. 10003 WOODLOCH FOREST DRIVE THE WOODLANDS, TX 77380 |
Exec VP & CFO |
/s/ Fan (Frank) Wu | 07/06/2021 | |
**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) | This option became exercisable in three equal annual installments on February 1, 2018, 2019 and 2020. |
(2) | This option became exercisable in three equal annual installments on February 7, 2019, 2020 and 2021. |
(3) | This option became exercisable as to 3,595 shares on February 6, 2020, 3,596 shares on February 6, 2021 and becomes exercisable as to the remaining 3,596 shares on February 6, 2022. |
(4) | This option became exercisable as to 5,038 shares on February 13, 2021 and becomes exercisable as to an additional 5,038 shares on February 13, 2022 and the remaining 5,039 shares on February 13, 2023. |
(5) | This option becomes exercisable in three equal annual installments beginning on February 17, 2022. |