|
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 or Section 30(h) of the Investment Company Act of 1940 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Incentive Stock Options (right to buy) | $ 4 | 12/28/2020 | A | 16,500 | (3) | 12/28/2030 | Common Stock | 16,500 | $ 0 | 16,500 | D (1) (4) | ||||
Incentive Stock Options (right to buy) | $ 4 | 12/28/2020 | A | 16,500 | (3) | 12/28/2030 | Common Stock | 16,500 | $ 0 | 16,500 | D (2) (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Goldfarb Ira 1440 NORTH UNION BOWER IRVING, TX 75061 |
X | X | Executive Chairman (1) | |
Goldfarb Claudia 1918 N. OLIVE STREET APT. 3302 DALLAS, TX 75201 |
X | X | Chief Executive Officer (2) |
/s/ Ira Goldfarb | 12/30/2020 | |
**Signature of Reporting Person | Date | |
/s/ Claudia Goldfarb | 12/30/2020 | |
**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) | Mr. Ira Goldfarb is a director and the Executive Chairman of the Issuer. Mr. Goldfarb, as the Managing Member of S-FDF, LLC, exercises voting and dispositive power over the shares held by S-FDF, LLC, a 10% owner of the Issuer. |
(2) | Mrs. Claudia Goldfarb is a director and the Chief Executive Officer of the Issuer. She is also the spouse of Mr. Goldfarb and, by virtue of her indirect ownership in S-FDF, LLC, a 10% owner in the Issuer. |
(3) | The Incentive Stock Options vest in three (3) installments, with 60% of options vesting three (3) years from the grant date, and continuing in even 20% portions on the next two (2) anniversaries thereof, until the options are fully vested. |
(4) | Issued to Mr. Goldfarb in his individual capacity. |
(5) | Issued to Mrs. Goldfarb in her individual capacity. |