Statement of Changes in Beneficial Ownership (4)
05 2월 2020 - 7:56AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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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1. Name and Address of Reporting Person
*
BAUTISTA ERNESTO III |
2. Issuer Name and Ticker or Trading Symbol
CARBO CERAMICS INC
[
CRR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Vice President and CFO |
(Last)
(First)
(Middle)
575 N. DAIRY ASHFORD, STE. 300 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
2/1/2020 |
(Street)
HOUSTON, TX 77079
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code (Instr. 8)
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4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock | 2/1/2020 | | F | | 6666 | D | $0.205 | 149574 | D | |
Common Stock | 2/1/2020 | | M | | 2996 | A | (1) | 152570 | D | |
Common Stock | 2/1/2020 | | D | | 2996 | D | $0.205 | 149574 | D | |
Common Stock | 2/1/2020 | | M | | 1493 | A | (1) | 151067 | D | |
Common Stock | 2/1/2020 | | D | | 1493 | D | $0.205 | 149574 | D | |
Common Stock | 2/1/2020 | | M | | 4356 | A | (1) | 153930 | D | |
Common Stock | 2/1/2020 | | D | | 4356 | D | $0.205 | 149574 | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. 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 | 7. Title and Amount of Securities Underlying Derivative Security (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 |
Phantom Stock | (1) | 2/1/2020 | | M | | | 2996 | (2) | (2) | Common Stock | 2996 | $0.00 | 0 | D | |
Phantom Stock | (1) | 2/1/2020 | | M | | | 1493 | (3) | (3) | Common Stock | 1493 | $0.00 | 1493 | D | |
Phantom Stock | (1) | 2/1/2020 | | M | | | 4356 | (4) | (4) | Common Stock | 4356 | $0.00 | 8712 | D | |
Explanation of Responses: |
(1) | Each share of phantom stock is the economic equivalent of one share of CARBO Ceramics common stock and will be settled in cash based on the fair market value of such a share at the time of vesting. |
(2) | The phantom stock award will vest in three equal annual installments beginning on February 1, 2018. |
(3) | The phantom stock award will vest in three equal annual installments beginning on February 1, 2019. |
(4) | The phantom stock award will vest in three equal annual installments beginning on February 1, 2020. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BAUTISTA ERNESTO III 575 N. DAIRY ASHFORD, STE. 300 HOUSTON, TX 77079 |
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| Vice President and CFO |
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Signatures
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/s/ Robert J. Willette, attorney-in-fact
for Ernesto Bautista III | | 2/4/2020 |
**Signature of Reporting Person | Date |
CARBO Ceramics (NYSE:CRR)
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CARBO Ceramics (NYSE:CRR)
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