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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Stock Option (Right to Buy)
|
Â
(2)
|
04/19/2014 |
Common Stock
|
15,000
|
$
14.025
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(3)
|
04/19/2014 |
Common Stock
|
25,000
|
$
11
|
D
|
Â
|
Stock Option (Right to Buy)
|
Â
(4)
|
04/19/2014 |
Common Stock
|
50,000
|
$
11
|
D
|
Â
|
Warrant (Right to Buy)
|
09/22/2013 |
03/22/2018 |
Common Stock
|
83,333
|
$
10
|
D
|
Â
|
* |
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) |
Date of event reflects the date on which Joseph J. Romano and Donna Ungermannova Peak were appointed co-executors of the Estate of Kenneth R. Peak. Mr. Peak died on April 19, 2013. The filing of this statement shall not be deemed an admission that the Reporting Person is the beneficial owner of any securities not held directly for its account for purposes of Section 16 of the Securities Act of 1934, as amended, or otherwise. |
(2) |
The option became exercisable as to 5,000 shares on September 15, 2011, as to an additional 5,000 shares on September 15, 2012 and as to the remaining 5,000 shares on October 12, 2012. |
(3) |
The option became exercisable as to 8,333 shares on July 3, 2012, and became exercisable as to the remaining 16,667 shares on October 12, 2012. |
(4) |
The option became exercisable as to 16,666 shares on December 7, 2012, 16,667 on December 7, 2013 and would have become exercisable with respect to the remaining 16,667 shares on December 7, 2014. |