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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 | |
Barton John P 11044 RESEARCH BLVD. SUITE A-200 AUSTIN, TX 78759 |
X | Vice President |
John Barton | 01/22/2013 | |
**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). |
Remarks: (1) 500,000 of these shares were held of record by Energy Capital Partners, LLC, a limited liability company controlled by Mr. Barton. (2) 500,000 of these shares were held of record by Energy Capital Parners, LLC, a limited liabililty company controlled by Mr. Barton and 600,000 shares were held of record by SGS Company, a company over which Mr. Barton has investment control. (3) 500,000 of these shares were held of record by Energy Capital Partners, LLC, a limited liability company controlled by Mr. Barton and 600,000 shares were held of record by SGS Company, a company over which Mr. Barton has investment control and 200,000 shares were held of record by Mr. Barton's wife. (4) 330,000 of these shares are held of record by Energy Capital Partners, LLC, a limited liabilty company controlled by Mr. Barton and 375,000 shares are held of record by SGS Company, a company over which Mr. Barton has investment control and 200,000 shares are held of record by Mr. Barton's wife. |