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4//SEC Filing

HICKCOX W THOMAS 4

Accession 0001181431-13-030337

CIK 0001095996other

Filed

May 22, 8:00 PM ET

Accepted

May 23, 6:59 PM ET

Size

19.0 KB

Accession

0001181431-13-030337

Insider Transaction Report

Form 4
Period: 2013-05-21
HICKCOX W THOMAS
SEE REMARKS
Transactions
  • Conversion

    CLASS D COMMON STOCK

    2013-05-2126,7370 total
    CLASS A COMMON STOCK (26,737 underlying)
  • Conversion

    STOCK OPTION (RIGHT TO BUY)

    2013-05-21525,0000 total
    Exercise: $1.05Exp: 2022-09-30CLASS D COMMON STOCK (525,000 underlying)
  • Conversion

    STOCK OPTION (RIGHT TO BUY)

    2013-05-21+63,63663,636 total
    Exercise: $8.67Exp: 2022-09-30CLASS A COMMON STOCK (63,636 underlying)
  • Conversion

    CLASS D COMMON STOCK

    2013-05-2138,1540 total
    CLASS A COMMON STOCK (38,154 underlying)
  • Conversion

    STOCK OPTION (RIGHT TO BUY)

    2013-05-21135,2250 total
    Exercise: $1.05Exp: 2017-09-30CLASS D COMMON STOCK (135,225 underlying)
  • Conversion

    STOCK OPTION (RIGHT TO BUY)

    2013-05-21+16,39016,390 total
    Exercise: $8.67Exp: 2017-09-30CLASS A COMMON STOCK (16,390 underlying)
  • Conversion

    CLASS A COMMON STOCK

    2013-05-21+64,89164,891 total
Footnotes (6)
  • [F1]Prior to the closing of the Issuer's initial public offering and sale to the underwriters, (i) the Issuer effected a 1-for-8.25 reverse stock split of its Class A Common Stock (the "Reverse Split") and (ii) all outstanding shares of the Issuer's Class C Common Stock, Class D Common Stock (including shares underlying outstanding equity awards) and Convertible Preferred Stock converted into shares of Class A Common Stock on a one-for-one basis as automatically adjusted for the Reverse Split (the "Conversion"). The information reported on this line item reflects the Reverse Split and the Conversion.
  • [F2]Class D Common Stock has no expiration date and, subject to certain events, is automatically convertible on a one-for-one basis into shares of Class A Common Stock.
  • [F3]The number of shares of Class D Common Stock for this line item was previously reported on Form 3 as covering 314,775 shares prior to the Reverse Split.
  • [F4]Fifty percent (50%) of the shares vested on October 1, 2012 with one-third of the remaining shares vesting on each of December 31, 2012, 2013 and 2014.
  • [F5]The number of shares of Class D Common Stock for this line item was previously reported on Form 3 as covering 220,588 shares prior to the Reverse Split.
  • [F6]Vests in three equal annual installments on each of March 1, 2014, 2015 and 2016, subject to certain restrictions.

Issuer

WILLIAM LYON HOMES

CIK 0001095996

Entity typeother

Related Parties

1
  • filerCIK 0001233471

Filing Metadata

Form type
4
Filed
May 22, 8:00 PM ET
Accepted
May 23, 6:59 PM ET
Size
19.0 KB