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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 | ||||||||
Performance-based Restricted Stock Unit | $ 0 (2) | 04/01/2018 | M | 28,539 | (3) | (3) | Abraxas Petroleum Common Stock | 28,539 (3) | $ 0 | 28,539 | D | ||||
Employee Stock Option | $ 0.97 | 03/15/2017 | 03/15/2026 | Abraxas Petroleum Common Stock | 177,000 | 177,000 | D | ||||||||
Employee Stock Option | $ 3.16 | 03/03/2016 | 03/03/2025 | Abraxas Petroleum Common Stock | 150,000 | 150,000 | D | ||||||||
Employee Stock Option | $ 3.15 | 03/11/2015 | 03/11/2024 | Abraxas Petroleum Common Stock | 24,000 | 24,000 | D | ||||||||
Employee Stock Option | $ 2.39 | 05/14/2014 | 05/14/2023 | Abraxas Petroleum Common Stock | 22,300 | 22,300 | D | ||||||||
Employee Stock Option | $ 3.74 | 03/08/2013 | 03/08/2022 | Abraxas Petroleum Common Stock | 10,400 | 10,400 | D | ||||||||
Employee Stock Option | $ 4.72 | 03/15/2012 | 03/15/2021 | Abraxas Petroleum Common Stock | 30,000 | 30,000 | D | ||||||||
Employee Stock Option | $ 2.09 | 03/16/2014 | 03/16/2020 | Abraxas Petroleum Common Stock | 60,000 | 60,000 | D | ||||||||
Employee Stock Option | $ 1.75 | 10/05/2010 | 10/05/2019 | Abraxas Petroleum Common Stock | 66,937 | 66,937 | D | ||||||||
Employee Stock Option | $ 3.6 | 08/28/2011 | 08/28/2017 | Abraxas Petroleum Common Stock | 15,330 | 15,330 | D | ||||||||
Employee Stock Option | $ 0.99 | 03/17/2003 | 03/17/2019 | Abraxas Petroleum Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WENDEL STEPHEN T 18803 MEISNER DRIVE SAN ANTONIO, TX 78258 |
VP - Contracts and Marketing |
Stephen T. Wendel | 04/04/2018 | |
**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) | 401-K shares acquired as a result of Abraxas Petroleum Corporations safe harbor match for calendar year 2017. |
(2) | Each performance-based restricted stock unit (RSU) represents the right to receive, following vesting, up to 200% of one share of Abraxas Petroleum common stock. The resulting number of shares of Abraxas Petroleum common stock acquired upon vesting of the performance based RSU is contingent upon the achievement of pre-established performance metrics, as approved by the Company's Compensation Committee, over a three year period beginning April 1, 2018 and ending April 1, 2021. |
(3) | Unless earlier forfeited under the terms of the performance-based RSUs, each performance based vest and converts into no more than 200% of one share of Abraxas Petroleum common stock. |