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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 | |
Dugan Patrick W 3009 POST OAK BLVD., SUITE 1212, HOUSTON, TX 77056 |
X | |||
Dugan Lydia 3009 POST OAK BLVD., SUITE 1212, HOUSTON, TX 77056 |
X |
/s/ Patrick Dugan | 04/19/2019 | |
**Signature of Reporting Person | Date | |
/s/ Lydia Dugan | 04/19/2019 | |
**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) | The earliest transaction date was incorrectly referenced in the original Form 4 filed by Lydia Dugan on May 31, 2013. |
(2) | These shares were inadvertently omitted from the original Form 4 filed by Lydia Dugan on May 31, 2013. |
(3) | The shares acquired through these transactions were purchased by Lydia Dugan directly. However, Lydia Dugan and Patrick Dugan beneficially own an aggregate total of 8,114,027 shares of common stock as a group. Lydia Dugan beneficially owns 2,151,675 shares of common stock of the Issuer directly. Patrick Dugan beneficially owns 376,100 shares of the common stock of the Issuer directly. Lydia Dugan is also the controlling shareholder of, and serves as the President of Delaware Royalty Company, Inc., Anglo Exploration Corporation, Houston Resources Corporation, and Nortex Corporation, which beneficially own 2,904,077, 180,000, 230,500, and 170,000 shares of common stock of the Issuer, respectively. These shares which she holds indirectly, together with the 2,151,675 shares she owns directly total 5,636,252 shares. |
(4) | (Continued from footnote 3) Patrick Dugan is the Vice President of these companies. Additionally, the Lydia P. Dugan Martial Trust, of which Lydia Dugan and Patrick Dugan are the co-trustee and Lydia Dugan is the beneficiary, beneficially owns 2,101,675 shares of common stock of the Issuer. |
Remarks: This Form 4 amends both the Form 4 filed by Lydia Dugan on May 31, 2013 and the Form 4 filed by Patrick Dugan on May 31, 2013. |