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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 | |
JCH Crenshaw Holdings, LLC 1655 LOUISIANA STREET BEAUMONT, TX 77701 |
X | X | ||
Crenshaw J. Casey 1655 LOUISIANA STREET BEAUMONT, TX 77701 |
X | X |
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. JCH Crenshaw Holdings, LLC By: /s/ J. Casey Crenshaw Name: J. Casey Crenshaw Title: President | 11/27/2018 | |
**Signature of Reporting Person | Date | |
/s/ J. Casey Crenshaw | 11/27/2018 | |
**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) | American Electric Technologies, Inc. ("AETI") declared a common stock dividend attributable to quarter ended September 30, 2018, payable to all holders of record of Series A Convertible Preferred Stock, par value $0.001 per share ("Series A Convertible Preferred Stock"), on the dividend record date. As the sole holder of AETI's Series A Convertible Preferred Stock, the reporting person received 99,833 shares of common stock as of November 21, 2018 and is entitled to receive an additional 60 shares of common stock. |