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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 | |
UNITED SERVICES AUTOMOBILE ASSOCIATION 9800 FREDERICKSBURG RD SAN ANTONIO, TX 78288 |
X | |||
USAA Property Holdings, Inc. 9800 FREDERICKSBURG ROAD SAN ANTONIO, TX 78288 |
X |
/s/ Douglas I. Ward, Vice President and Chief Investment Officer | 01/05/2016 | |
**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 transactions reported on this form were executed pursuant to a 10b5-1 plan adopted as of August 26, 2015. |
(2) | Execution Breakdown of Price/Sold Shares: (continuation will be included in footnote #3, #4, #5 and #6) $8.32 300 $8.34 400 $8.345 100 $8.36 300 $8.37 600 $8.38 200 $8.39 300 $8.40 2,800 $8.405 200 $8.41 1,000 $8.415 300 $8.42 1,300 $8.425 1,500 $8.43 2,298 $8.435 2 $8.44 3,643 $8.445 1,683 $8.45 2,500 $8.46 500 $8.47 1,147 $8.475 353 $8.48 600 |
(3) | Execution Breakdown of Price/Sold Shares: (continuation from footnote # 2) $8.50 14,075 $8.505 400 $8.51 6,037 $8.515 200 $8.52 5,510 $8.525 300 $8.53 1,700 $8.54 1,175 $8.55 2,800 $8.555 600 $8.56 2,400 $8.57 1,772 $8.58 5,300 $8.585 100 $8.59 2,700 $8.60 2,200 $8.61 1,477 $8.615 200 $8.62 1,259 $8.63 824 $8.635 1,300 $8.64 900 $8.65 1,780 $8.66 1,000 $8.67 725 |
(4) | Execution Breakdown of Price/Sold Shares: (continuation from footnote #3) $8.675 675 $8.68 1,600 $8.685 100 $8.71 293 $8.72 300 $8.73 480 $8.735 400 $8.74 1,100 $8.745 300 $8.75 700 $8.76 1,300 $8.765 600 $8.77 900 $8.771 100 $8.78 1,400 $8.785 200 $8.79 800 $8.80 2,924 $8.81 2,200 $8.815 1,400 $8.82 3,100 $8.825 1,400 $8.83 820 $8.84 4,645 $8.85 1,000 |
(5) | Execution Breakdown of Price/Sold Shares: (continuation from footnote #4) $8.855 600 $8.86 1,790 $8.87 1,625 $8.88 1,900 $8.89 1,900 $8.895 200 $8.90 700 $8.905 700 $8.91 2,600 $8.92 2,400 $8.93 800 $8.94 5,429 $8.945 100 $8.95 4,085 $8.96 4,459 $8.965 2,200 $8.97 4,113 $8.975 1,300 $8.98 3,100 $8.985 1,899 $8.99 2,900 $9.00 5,721 $9.005 600 $9.01 3,700 |
(6) | Execution Breakdown of Price/Sold Shares: (continuation from footnote #5) $9.02 1,800 $9.025 200 $9.03 1,300 $9.04 1,000 $9.045 100 $9.05 1,250 $9.06 1,795 $9.065 435 $9.07 1,200 $9.08 3,800 $9.085 2,200 $9.09 2,600 $9.10 1,799 $9.105 1,000 $9.11 2,210 $9.12 3,386 $9.125 3,607 $9.13 4,600 $9.14 400 $9.15 100 $9.16 1,000 $9.17 500 $9.18 200 $9.19 100 $9.21 100 $9.22 200 $9.23 800 |
(7) | USAA Property Holdings, Inc. is a wholly owned subsidiary of United Services Automobile Association. |