3: Initial statement of beneficial ownership of securities
Published on July 19, 2021
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 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 | ||||
Stock Options | (1) | 02/24/2030 | Common Stock | 131,860 | $ 8.5 | D | |
Stock Options | (2) | 01/22/2031 | Common Stock | 41,206 | $ 10 | D |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brunker Steven 10590 HAMILTON AVENUE CINCINNATI, OH 45231 |
Chief Information Officer |
Signatures
By: /s/ Douglas D. Roberts, as attorney-in-fact | 07/14/2021 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Half of the shares underlying the option vest in four equal annual installments beginning on the first anniversary of the date of grant (which is 10 years prior to the expiration date), subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. Half of the shares underlying the option vest based on the achievement of performance criteria. |
(2) | Two-thirds of the shares underlying the option vest in four equal annual installments beginning on the first anniversary of the date of grant (which is 10 years prior to the expiration date), subject to the Reporting Person's continued employment with the Issuer through the applicable vesting date. One-third of the shares underlying the option vest based on the achievement of performance criteria. |
Remarks: Exhibit List: Exhibit 24 - Power of Attorney |