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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 | ||||||||
2006 Stock Option - Right to Buy | $ 22 | 06/02/2009(1) | M(2) | 2,200 | 01/25/2009 | 01/25/2013 | Class A Common Stock | 2,200 | $ 0 | 117,800 (4) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ells Steve 1401 WYNKOOP STREET, SUITE 500 DENVER, CO 80202 |
X | Chairman & Co-CEO |
/s/ Michael McGawn, as attorney-in-fact | 07/27/2009 | |
**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) | This amended Form 4 is filed to report the exercise of an additional 2,200 options to purchase shares of Class A Common Stock, and sale of the underlying shares, by the reporting person on June 2, 2009. The exercise of these options and sale of the underlying shares were inadvertently omitted from the Form 4 filed on the reporting person's behalf on June 4, 2009. |
(2) | These option exercises and sales were executed under the terms of a Non-Discretionary Option Exercise and Sale plan intended to comply with Rule 10b5-1(c) under the Securities Exchange Act of 1934. |
(3) | Reflects a weighted-average price. Actual sale prices ranged from $87.00 to $87.06 per share. The filing person undertakes to furnish to the issuer, any requesting shareholder of the issuer, or the staff of the Securities and Exchange Commission complete information regarding the number of shares sold at each separate price. |
(4) | As a result of the omission of this option exercise from the Form 4 filed on the reporting person's behalf on June 4, 2009, Column 9 in Table II of such Form 4, and in two Forms 4 subsequently filed on the reporting person's behalf, overstated the remaining number of 2006 Stock Options held by the reporting person by 2,200 options. The error will be corrected in future filings. |