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4/A//SEC Filing

BALL GEORGE L 4/A

Accession 0001181431-11-022034

CIK 0001071341other

View on SEC.gov Company Profile

Filed

Apr 3, 8:00 PM ET

Accepted

Apr 4, 5:59 PM ET

Size

12.5 KB

Accession

0001181431-11-022034

Insider Transaction Report

Form 4/AAmended

Period: 2011-03-07

SANDERS MORRIS HARRIS GROUP INCSMHG

DirectorChief Executive Officer

Transactions

Tax Payment
Common Stock
2011-03-21$6.98/sh−5,776$40,316→ 1,084,842 total
Exercise/Conversion
Restricted Stock Units
2011-03-07−16,515→ 49,531 total
From: 2011-03-07→ Common Stock (16,515 underlying)
Award
Common Stock
2011-03-07$6.98/sh+16,515$115,275→ 1,090,600 total
Award
Restricted Stock Units
2011-03-07−66,046→ 66,046 total
→ Common Stock (66,046 underlying)

Holdings

Common Stock
(indirect: By Trust)
6,000
Common Stock
(indirect: By Spouse)
25,551

Footnotes (5)

[F1]Shares held by Bonner S. Ball Family Trust Account
[F2]Represents vested portion of award of restricted stock units, which vests 25% on the date of grant.
[F3]Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
[F4]Restricted stock units vest 25% on the date of grant, 50% on March 7, 2012, 75% on March 7, 2013, and 100% on March 7, 2014.
[F5]The restricted stock units were issued pursuant to the Issuer's 2010 Executive and Key Manager Restricted Stock Unit Sub-Plan.

Documents

1 file

4
rrd307621.xml

Issuer

SANDERS MORRIS HARRIS GROUP INC

CIK 0001071341

Entity typeother

Related Parties

1

filerCIK 0001184309

Filing Metadata

Form type: 4/A
Filed: Apr 3, 8:00 PM ET
Accepted: Apr 4, 5:59 PM ET
Size: 12.5 KB

View on SEC.gov