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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROTH W RICHARD 110 W TAYLOR STREET SAN JOSE, CA 95110 |
X | President & CEO |
/s/ Suzy Papazian Attorney-in-Fact for W. Richard Roth | 04/25/2013 | |
**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) | Represents 5,748 fully-vested shares of the Issuer's common stock awarded to the reporting person in recognition of his services in obtaining certain governmental permits for Texas Water Alliance Limited, the Issuer's wholly-owned subsidiary. |
(2) | Includes 56,603 shares of the Issuer's common stock. Also includes 56,901 shares of the Issuer's common stock underlying restricted stock units and 106,396 shares of the Issuer's common stock underlying deferred restricted stock, which may be subject in whole or in part to vesting schedules tied to Mr. Roth's continued service with the Issuer or the attainment of certain performance goals, and which will be issued as actual shares of common stock of the Issuer either at the time of vesting or at a specified time thereafter (including termination of service with the Issuer). |
(3) | Represents 2,114 shares of common stock of the Issuer withheld by the Issuer in satisfaction of the applicable withholding taxes on certain shares of common stock. The issuable shares were granted on April 23, 2013 and are reported in Table I of this filing. |
(4) | Includes 54,489 shares of the Issuer's common stock. Also includes 56,901 shares of the Issuer's common stock underlying restricted stock units and 106,396 shares of the Issuer's common stock underlying deferred restricted stock, which may be subject in whole or in part to vesting schedules tied to Mr. Roth's continued service with the Issuer or the attainment of certain performance goals, and which will be issued as actual shares of common stock of the Issuer either at the time of vesting or at a specified time thereafter (including termination of service with the Issuer). |