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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Trail Justin N 12700 PARK CENTRAL DRIVE DALLAS, TX 75251 |
 X |  |  |  |
/s/Adam D. Nelson Attorney-in-fact | 11/06/2014 | |
**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) | Does not include 1,509,067 shares of common stock of issuer that are beneficially owned by Triumph Consolidated Cos., LLC (TCC). Reporting person is one of 7 directors of TCC and does not beneficially own 10% or more of TCC's outstanding capital stock. Reporting person disclaims beneficial ownership of the 1,509,067 shares held by TCC. |
(2) | These 12,859 shares are beneficially owned through Equity Trust Company Custodian FBO Justin Trail Sep IRA. |
(3) | These 4,286 shares of common stock are beneficially owned by the reporting person's spouse, Tamara Trail, through Equity Trust Company Custodian FBO Tamara Trail IRA. Reporting person disclaims beneficial ownership of these shares. |
(4) | These 32,144 shares of common stock are beneficially owned through JTHT Enterprises, Ltd. Reporting person exercises voting and dispositive control over these shares and disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest. |