SEC Form 4 · accession 0001209191-16-154246
Approach Resources Inc · AREX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Uma L. Datla
Officer — Chief Accounting Officer
Period of report
Dec 6, 2016
Accepted (ET)
Dec 8, 2016 · 6:48 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001405073
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 6, 2016 | A | 7,991 | $0.00 | A | 75,975 | D | |
| Common StockF2 | Dec 6, 2016 | F | 2,186 | $0.00 | D | 73,789 | D | |
| Common StockF3 | Dec 6, 2016 | A | 23,073 | $0.00 | A | 96,862 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares of fully vested common stock granted under the Issuer's 2007 Stock incentive Plan. The grant is exempt under Rule 16b-3(d).
- F2Represents tax liability on December 6, 2016, satisfied by withholding 2,186 shares incident to the award of common stock on December 6, 2016.
- F3Shares of restricted stock granted under the Issuer's 2007 Stock Incentive Plan. The grant is exempt under Rule 16b-3(d) and the shares vest in three equal installments beginning on the first anniversary of the grant date.