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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 | |
CAPTAIN Q, LLC 301 COMMERCE STREET, SUITE 3200 FORT WORTH, TX 76102 |
X | X | ||
Renegade Swish, LLC 301 COMMERCE STREET SUITE 3200 FORT WORTH, TX 76102 |
X | X | ||
RAYNOR GEOFFREY 301 COMMERCE STREET SUITE 3200 FORT WORTH, TX 76102 |
X | X |
/s/ Brandon Teague, Vice President, Captain Q, LLC | 12/26/2017 | |
**Signature of Reporting Person | Date | |
/s/ Brandon Teague, Vice President, Renegade Swish, LLC | 12/26/2017 | |
**Signature of Reporting Person | Date | |
/s/ Brandon Teague, Attorney-in-Fact for Geoffrey P. Raynor | 12/26/2017 | |
**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) | All shares reported herein as being owned by Captain Q, LLC ("Captain Q") are held by Captain Q in its capacity as the general partner of 5 Essex, L.P. This filing shall not be deemed an admission that Captain Q is the beneficial owner of such shares for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Act"). |
(2) | Renegade Swish, LLC ("RS") is the sole manager of Captain Q, which is the holder of the shares reported herein. RS is controlled and indirectly wholly owned by Geoffrey P. Raynor ("Raynor"). Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Act, each of Captain Q, RS and Raynor is deemed to be the beneficial owner of any such shares beneficially owned by Captain Q only to the extent of the greater of his or its respective direct or indirect interest therein. Each of Captain Q, RS and Raynor hereby disclaims beneficial ownership of all such shares, except to the extent of any direct or indirect pecuniary interest therein. |
(3) | Each of Captain Q, RS and Raynor may be deemed to be a director by deputization for purposes of Section 16 under the Act by virtue of the fact that Scott McCarty, an employee of RS, currently serves on the board of directors of the issuer. |