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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 | ||||||||
Stock Appreciation Rights | $ 22.395 | 05/09/2019 | M | 15,006 (1) (2) | 04/15/2013(3) | 05/31/2019 | Common Stock | 15,006 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Dunn Jeff 800 W. OLYMPIC BLVD. SUITE 406 LOS ANGELES, CA 90015 |
X |
/s/ Lisa Kwon, as Attorney-in-Fact for Jeff Dunn | 05/13/2019 | |
**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 Reporting Person received 8,072 shares of common stock upon the net exercise of 15,006 stock appreciation rights ("SARS"). The Reporting Person forfeited 6,934 shares of common stock underlying the SARS in payment of the exercise price, using the closing stock price on May 9, 2019 of $48.47. The Reporting Person did not sell any shares received from this net exercise of SARS. |
(2) | These SARS were previously reported as covering 7,503 shares at an exercise price of $44.79 per share, but were adjusted to reflect the stock split that occurred on May 14, 2018. |
(3) | These SARs vested 25% on each of July 25, 2012, October 15, 2012, January 15, 2013 and April 15, 2013. |