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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 | |
CAPTAIN Q, LLC 301 COMMERCE STREET, SUITE 3200 FORT WORTH, TX 76102 |
X | X | ||
Renegade Swish, LLC 301 COMMERCE STREET SUITE 3200 FORT WORTH, TX 76102 |
X | X | ||
RAYNOR GEOFFREY 301 COMMERCE STREET SUITE 3200 FORT WORTH, TX 76102 |
X | X |
/s/ Brandon Teague, Vice President, Captain Q, LLC | 04/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ Brandon Teague, Vice President, Renegade Swish, LLC | 04/17/2018 | |
**Signature of Reporting Person | Date | |
/s/ Brandon Teague, Attorney-in-Fact for Geoffrey P. Raynor | 04/17/2018 | |
**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) | Grant of restricted stock units representing a contingent right to receive the equivalent number of shares of GLF common stock for no consideration that vests on November 15, 2018 (the "Award"). Such right is currently held by Scott McCarty (see note 2 below); however, the shares subject to the Award will be held by Renegade Swish, LLC ("RS") upon their issuance. |
(2) | Each of Captain Q (defined below), RS and Raynor (defined below) may be deemed to be a director by deputization for purposes of Section 16 under the Securities Exchange Act of 1934 (the "Act") by virtue of the fact that Scott McCarty, an employee of RS, currently serves on the board of directors of the issuer. Each of Captain Q, RS and Raynor hereby disclaims beneficial ownership of all shares reported herein, except to the extent of any direct or indirect pecuniary interest therein. |
(3) | RS is the sole manager of Captain Q, LLC ("Captain Q"), which is the holder of such 1,177,150 shares reported herein. RS is controlled and indirectly wholly owned by Geoffrey P. Raynor ("Raynor"). |
(4) | All shares reported herein as being owned by Captain Q are held by Captain Q in its capacity as the general partner of 5 Essex, L.P. |