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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 | ||||||||
Common Stock Option | $ 4.96 | 08/08/2018 | M | 3,075 | (2) | 02/12/2027 | Common Stock | 3,075 | $ 0 | 63,713 (3) | D | ||||
Common Stock Option | $ 3.61 | 08/08/2018 | M | 3,852 | (4) | 02/17/2026 | Common Stock | 3,852 | $ 0 | 59,861 (3) | D | ||||
Common Stock Option | $ 2.4 | 08/08/2018 | M | 5,000 | (5) | 06/06/2020 | Common Stock | 5,000 | $ 0 | 54,861 (3) | D | ||||
Common Stock Option | $ 2.46 | 08/08/2018 | M | 5,000 | (6) | 04/08/2020 | Common Stock | 5,000 | $ 0 | 49,861 (3) | D | ||||
Common Stock Option | $ 1.76 | 08/08/2018 | M | 36,000 | (7) | 01/03/2020 | Common Stock | 36,000 | $ 0 | 13,861 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hausmann Robert C 2711 N. HASKELL AVENUE SUITE 2200 DALLAS, TX 75204 |
X |
/s/ Noah F. Webster, Attorney-in-Fact | 08/23/2018 | |
**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 price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $5.65 to $5.66. The reporting person undertakes to provide to Zix Corporation, any security holder of Zix Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within such range. |
(2) | Grant of 3,075 options on February 13, 2017 vested quarterly and pro-rata over one year. These options expire February 12, 2027. |
(3) | This Form 4/A amends the Form 4 filed by the Reporting Person on August 9, 2018. The amount of securities directly beneficially owned by the Reporting Person has been historically reported incorrectly and the resulting amount of derivative securities beneficially owned following each of the transactions set forth in Table II should have been reported as set forth in column 9 of Table II of this Form 4/A. |
(4) | Grant of 3,852 options on February 18, 2016 vested quarterly and pro-rata over one year. These options expire February 17, 2026. |
(5) | Grant of 5,000 options on June 7, 2010 vested quarterly and pro-rata over one year. These options expire June 6, 2020. |
(6) | Grant of 5,000 options on April 9, 2010 vested quarterly and pro-rata over one year. These options expire April 8, 2020. |
(7) | Grant of 36,000 options on January 4, 2010 vested quarterly and pro-rata over one year. These options expire January 3, 2020. |