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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 | ||||||||
Restricted Stock Units (Time-Based) (4) | (2) | 05/12/2016 | M | 9,195 | (5) | (5) | Series A Common Stock | 9,195 (2) | $ 0 | 0 | D | ||||
Restricted Stock Units (Time-Based) | (2) | 05/12/2016 | A | 11,653 | (6) | (6) | Series A Common Stock | 11,653 (2) | $ 0 | 11,653 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CALDERA LOUIS E A. H. BELO CORPORATION P.O. BOX 224866 DALLAS, TX 75222-4866 |
X |
Christine E. Larkin, Attorney-in-Fact | 05/13/2016 | |
**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) | The number of shares shown represents the time-based restricted stock units (TBRSUs) that vested on May 15, 2014 and were settled on May 12, 2016. These TBRSUs were awarded on May 16, 2013. |
(2) | Each TBRSU represents a contingent right to receive the value of one share of A. H. Belo Corporation Series A Common Stock. These TBRSUs are valued as of the date of settlement and are paid 60% in shares of A. H. Belo Corporation Series A Common Stock and 40% in cash. |
(3) | The number of shares shown represents the settlement of the 40% cash portion of TBRSUs that were settled and paid on May 12, 2016. Settlement of the cash portion is, pursuant to SEC guidance, deemed to be a sale of shares to the Company. |
(4) | These TBRSUs were awarded on May 16, 2013. |
(5) | These TBRSUs vested 100% on May 15, 2014 and were settled on May 12, 2016. |
(6) | These TBRSUs vest 100% on the date of the Company's 2017 annual meeting of shareholders and are settled within 10 business days of the 2019 annual meeting of shareholders. |