5: Annual statement of changes in beneficial ownership of securities
Published on February 14, 2018
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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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 2270 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nordhagen Arlen Dale 5200 DTC PARKWAY STE 200 GREENWOOD VILLAGE, CO 80111 |
X | Chief Executive Officer |
Signatures
Arlen Dale Nordhagen, by Jason Parsont, his Attorney-in-fact | 02/14/2018 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | On December 5, 2017, the Reporting Person made a bona fide gift of 13,000 common shares of beneficial interest, par value $0.01 per share ("Shares") and his wife made a bona fide gift of 13,000 Shares to the Nord Foundation (the "Foundation"), which is a nonprofit tax-exempt organization under section 501(c)(3) of the internal revenue code for which the Reporting Person and his wife each serve as directors. No part of the Foundation's net earnings may inure to the benefit of or be distributable to the Reporting Person or any other individual and neither the Reporting Person nor any other individual shall be entitled to share in the distribution of any assets of the Foundation on its dissolution or otherwise. The Reporting Person and his wife do not have a pecuniary interest in the Shares held by the Foundation. |
(2) | The Reporting Person's total direct and indirect ownership of Shares following the transactions reported in the table above is 120,700 Shares, which includes those Shares previously reported. The 120,700 Shares do not include derivative securities of the Reporting Person that have been reported on the Reporting Person's Forms 3 and Forms 4. |