UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Restricted Stock Units | Â (2) | Â (2) | Common Stock, par value $0.01 per share | 46,166 | $ (2) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WALDRON JOHN E. C/O GOLDMAN SACHS & CO. LLC 200 WEST STREET NEW YORK, NY 10282 |
 |  |  President and COO |  |
/s/ Beverly L. O'Toole, Attorney-in-fact | 10/05-04:00/2018 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These shares cannot be transferred before dates ranging from January 2019 to January 2023. Additionally, certain of these shares are subject to a non-competition covenant which will lapse in three approximately equal installments on or about each of December 31, 2018, 2019 and 2020, subject to other terms and conditions of the applicable award agreement. |
(2) | A portion of these Restricted Stock Units ("RSUs") were granted in January 2016, with the remainder granted in January 2017. These RSUs are fully vested and a portion will generally convert into shares of the Issuer's common stock in January 2019, with the remainder converting in January 2020. The shares of common stock delivered pursuant to these RSUs generally cannot be sold or transferred before January 2021 (with respect to RSUs granted in January 2016) and January 2022 (with respect to RSUs granted in January 2017). |