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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 | ||||||||
Call option (obligation to sell) | $ 57.1805 | 05/04/2018 | S/K(3) | 1 | 02/01/2019 | 02/01/2019 | Common Stock | 156,748 | $ 407,544.8 | 1 | I | By Spouse | |||
Put option (right to sell) | $ 46.912 | 05/04/2018 | P/K(3) | 1 | 02/01/2019 | 02/01/2019 | Common Stock | 156,748 | $ 407,544.8 | 1 | I | By Spouse | |||
Option to Buy Common Stock | $ 43.38 | 12/06/2017 | 12/06/2027 | Common Stock | 77,899 | 77,899 | D | ||||||||
Option to Buy Common Stock | $ 53.54 | 12/07/2016 | 12/07/2026 | Common Stock | 114,900 | 114,900 | D | ||||||||
Option to Buy Common Stock | $ 38.95 | 12/02/2015 | 12/02/2025 | Common Stock | 176,900 | 176,900 | D | ||||||||
Option to Buy Common Stock | $ 40.75 | 12/03/2014 | 12/03/2024 | Common Stock | 178,100 | 178,100 | D | ||||||||
Option to Buy Common Stock | $ 50.62 | 12/04/2013 | 12/04/2023 | Common Stock | 137,900 | 137,900 | D | ||||||||
Option to Buy Common Stock | $ 33.5 | 12/05/2012 | 12/05/2022 | Common Stock | 208,900 | 208,900 | D | ||||||||
Option to Buy Common Stock | $ 35.57 | 12/06/2011 | 12/06/2021 | Common Stock | 141,900 | 141,900 | D | ||||||||
Option to Buy Common Stock | $ 39.19 | 12/01/2010 | 12/01/2020 | Common Stock | 108,000 | 108,000 | D | ||||||||
06/2017 Restricted Stock Units | $ 0 (4) | (5) | (5) | Common Stock | 326,229 | 326,229 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LESAR DAVID J 3000 N. SAM HOUSTON PARKWAY E. HOUSTON, TX 77032 |
X | Exec Chairman of the Board |
/s/ Bruce A. Metzinger, by Power of Attorney | 05/08/2018 | |
**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) | Reporting person transferred shares to spouse. |
(2) | Indirect beneficial ownership total reduced by 25,000 to correct for an administrative error in the indirect beneficial ownership total listed on Form 4 report submitted 12/7/2017. |
(3) | The spouse of the reporting person entered into a "zero-cost collar" arrangement pursuant to which she wrote a covered call option and purchased a put option. Only one of the options, if any, can be in the money on the expiration date, at which time the in-the-money option will be exercised (and settled for cash), and the other option will expire. If neither option is in the money on the expiration date, both options will expire. |
(4) | Each Restricted Stock Unit represents the right to receive one share of common stock. |
(5) | One-half of the Restricted Stock Units vest and distribute as common stock effective December 31, 2018. The other one-half will be valued on December 31, 2018 and distribute as cash in three equal annual installments beginning December 31, 2019. |