Duncan Charles William III 4
4 · SANDERS MORRIS HARRIS GROUP INC · Filed Sep 4, 2009
Insider Transaction Report
Form 4
Duncan Charles William III
Director
Transactions
- Award
Common Stock
2009-09-04$5.32/sh+2,000$10,640→ 23,933 total - Award
Common Stock
2009-09-04$5.32/sh+3,087$16,423→ 27,020 total
Holdings
- 10,000(indirect: By Partnership)
Common Stock
Footnotes (3)
- [F1]Restricted stock award that vests 50% at the end of year one, 75% at the end of year two, and 100% at the end of year three.
- [F2]Shares owned by Duncan Investors Partnership of which Mr. Duncan owns a 47.5% Interest. Mr. Duncan disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
- [F3]Restricted stock award that vests 100% on the first anniversary of the date of grant.