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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Common Stock Warrants | $ 8.92 | 02/22/2013 | X | 3,253,706 | 08/02/2010 | 10/17/2014 | Common Stock | 2,160,607 | $ 0 | 0 | I | By SCF-VII, L.P. (1) | |||
Common Stock Warrants | $ 8.92 | 02/22/2013 | X | 3,112,366 | 06/29/2011 | 10/17/2014 | Common Stock | 2,066,751 | $ 0 | 0 | I | By SCF-VII, L.P. (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SIMMONS L E 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SIMMONS L E & ASSOCIATES INC 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF V LP 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF-V, G.P., Limited Partnership 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF VI LP 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF-VI, G.P., Limited Partnership 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF-VII, L.P. 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group | ||
SCF-VII, G.P., Limited Partnership 600 TRAVIS STREET SUITE 6600 HOUSTON, TX 77002 |
X | Member of Group |
L.E. Simmons | 02/26/2013 | |
**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) | LE Simmons is President and sole member of the board of directors of LE Simmons & Associates Inc, a Delaware corporation (LESA), which is the sole general partner of each of SCFV, GP, LLC (SCFVGPLLC), SCFVI, GP, Limited Partnership (SCFVIGP) and SCFVII, GP Limited Partnership (SCFVIIGP), SCF 2012A, LP and SCF 2012B, LP, each of which are Delaware limited partnerships. Additionally, SCFVGPLLC is the sole general partner of SCFV, LP (SCFV), SCFVIGP is the sole general partner of SCFVI, LP (SCFVI) and SCFVIIGP is the sole general partner of SCFVII, LP (SCFVII), Collectively, LESA, SCF 2012A, LP, SCF 2012B, LP, SCFVGP LLC, SCFVIGP, SCFVIIGP, SCFV, SCFVI and SCFVII are the Reporting Entities. Based on the reporting person's affiliation with the Reporting Entities, LE Simmons may be deemed to beneficially own all of the shares of common stock of the Issuer beneficially owned or deemed to be beneficially owned by the Reporting Entities. |