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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 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 | ||||||||
Series D Preferred Stock | (2) | 04/27/2010 | C | 789,492 (1) (2) | (2) | (6) | Common Stock | 789,492 (1) (2) | $ 0 | 0 | I | See Footnote (3) | |||
Series E Preferred Stock | (4) | 04/27/2010 | C | 2,410,412 (1) (4) | (4) | (6) | Common Stock | 2,410,412 (1) (4) | $ 0 | 0 | I | See Footnote (3) | |||
Series F Preferred Stock | (5) | 04/27/2010 | C | 2,373,415 (1) (5) | (5) | (6) | Common Stock | 2,373,415 (1) (5) | $ 0 | 0 | I | See Footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Equilon Enterprises LLC ROOM 4552, 910 LOUISIANA ST. HOUSTON, TX 77002 |
X | |||
Royal Dutch Shell plc 30, CAREL VAN BYLANDTLAAN, 2596 HR THE HAGUE THE NETHERLANDS, P7 |
X |
/s/ Lynn S. Borgmeier, for Equilon Enterprises LLC as its Secretary | 04/29/2010 | |
**Signature of Reporting Person | Date | |
/s/ Michiel Brandjes, for Royal Dutch Shell plc as its Company Secretary | 04/29/2010 | |
**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) | Reflects a 2-for-3 reverse stock split of the Issuer's outstanding securities effected immediately prior to the effectiveness of the Issuer's S-1 Registration Statement (Commission File No. 333-164044). |
(2) | Each share of Series D Preferred Stock automatically converted into Common Stock on a 1-for-1 basis upon the closing of the Issuer's initial public offering. |
(3) | Shares owned directly by Equilon Enterprises LLC dba Shell Oil Products US ("Equilon Enterprises"). Equilon Enterprises is an indirect wholly owned subsidiary of Royal Dutch Shell plc. As a result, Royal Dutch Shell plc may be deemed to be the indirect beneficial owner of all of the securities reported on this Form 4. |
(4) | As previously reported on the Form 3 dated April 21, 2010, due to the antidilution provisions of the Issuer's certificate of incorporation that apply to the Series E Preferred Stock, each share of Series E Preferred Stock automatically converted into Common Stock on a 1.008702-for-1 basis upon the closing of the Issuer's initial public offering. Number of shares reported includes the additional 20,794 shares of Common Stock that was issued to Equilon Enterprises upon such conversion as a result of such antidilution adjustment. |
(5) | As previously reported on the Form 3 dated April 21, 2010, due to the antidilution provisions of the Issuer's certificate of incorporation that apply to the Series F Preferred Stock, each share of Series F Preferred Stock automatically converted into Common Stock on a 1.008702-for-1 basis upon the closing of the Issuer's initial public offering. Number of shares reported includes the additional 20,475 shares of Common Stock that was issued to Equilon Enterprises upon such conversion as a result of such antidilution adjustment. |
(6) | The expiration date is not relevant to the conversion of these securities. |