UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Grant of Common Stock | Â (1) | Â (1) | Common Stock | 1,005.954 | $ (1) | D | Â |
Restricted Grant of Common Stock | Â (2) | Â (2) | Common Stock | 956.226 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
POST ROBERT JASON 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
 |  |  Chief Compliance Officer |  |
/s/ Robert Jason Post | 09/11/2017 | |
**Signature of Reporting Person | Date |
* | 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) | These shares were granted to the Reporting Person on February 28, 2015 pursuant to a long term retention program of the investment manager of the issuer, and vest on March 1, 2018 so long as the Reporting Person is employed by the investment manager on such date. On the vest date, the investment manager may issue the Reporting Person the reported number of shares of Common Stock or pay the Reporting Person the then current value of such shares in cash. |
(2) | These shares were granted to the Reporting Person on February 28, 2017 pursuant to a long term retention program of the investment manager of the issuer, and vest on May 31, 2020 so long as the Reporting Person is employed by the investment manager on such date. On the vest date, the investment manager may issue the Reporting Person the reported number of shares of Common Stock or pay the Reporting Person the then current value of such shares in cash. |