Statement of Changes in Beneficial Ownership (4)
June 11 2015 - 6:28PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Edwards Clark
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2. Issuer Name
and
Ticker or Trading Symbol
PostRock Energy Corp
[
PSTR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Vice President-Operations
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(Last)
(First)
(Middle)
210 PARK AVE. STE. 2750
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/2/2015
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(Street)
OKLAHOMA CITY, OK 73102
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Employee Stock (Option to Buy)
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$1.84
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4/2/2015
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A
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37935
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(1)
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4/2/2020
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Common Stock
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37935
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$0.00
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37935
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D
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Phantom Stock
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(2)
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4/2/2015
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A
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23709.23
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(2)
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(2)
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Common Stock
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23709.23
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$1.84
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43703.42
(3)
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D
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Explanation of Responses:
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(
1)
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This option vests in three equal annual installments beginning on 04/02/2016.
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(
2)
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The shares of phantom stock vest in three equal annual installments beginning on the first anniversary of the grant date. The vested shares of phantom stock become payable in cash or common stock (with any fractional shares paid in cash), at the election of the recipient, following the occurrence of qualifying distribution events specified in the plan. Each share of phantom stock is issued under the issuer's deferred compensation plan and is the economic equivalent of one share of common stock.
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(
3)
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The number of derivative securities beneficially owned following the reported transaction also reflects a 10:1 reverse stock split of the issuer's common stock, which became effective on January 2, 2015.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Edwards Clark
210 PARK AVE. STE. 2750
OKLAHOMA CITY, OK 73102
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Vice President-Operations
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Signatures
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Clark Edwards by Casey E. Bigelow, power of attorney
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6/11/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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