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SANDERS MORRIS HARRIS GROUP INC·4/A

Apr 4, 5:59 PM ET

BALL GEORGE L 4/A

4/A · SANDERS MORRIS HARRIS GROUP INC · Filed Apr 4, 2011

Insider Transaction Report

Form 4/AAmended
Period: 2011-03-07
SANDERS MORRIS HARRIS GROUP INCSMHG
BALL GEORGE L
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