Amended Statement of Changes in Beneficial Ownership (4/a)
June 29 2018 - 1:18PM
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
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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
*
King Geoffrey R.
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2. Issuer Name
and
Ticker or Trading Symbol
ABRAXAS PETROLEUM CORP
[
AXAS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
__
X
__ Other (specify below)
Former VP - CFO
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(Last)
(First)
(Middle)
18803 MEISNER DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
6/26/2018
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(Street)
SAN ANTONIO, TX 78258
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
6/28/2018
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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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Abraxas Petroleum Common Stock
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6/26/2018
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D
(1)
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56393
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D
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$000
(1)
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155685
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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M
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200000
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A
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$1.99
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355685
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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F
(2)
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143682
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D
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$2.77
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212003
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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M
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24000
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A
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$2.39
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236003
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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F
(2)
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20708
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D
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$2.77
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215295
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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M
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76000
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A
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$0.97
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291295
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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F
(2)
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26614
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D
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$2.77
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264681
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D
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Abraxas Petroleum Common Stock
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6/26/2018
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M
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25000
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A
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$1.31
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289681
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D
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Abraxas Petroleum Common Stock
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6/18/2018
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F
(2)
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11823
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D
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$2.77
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277858
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D
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Abraxas Petroleum Common Stock
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21159
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I
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401-K
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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
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$3.15
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3/11/2015
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3/11/2024
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Abraxas Petroleum Common Stock
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27500
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27500
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D
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Employee Stock Option
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$3.16
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3/3/2016
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3/3/2025
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Abraxas Petroleum Common Stock
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187500
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187500
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D
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Employee Stock Option
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$1.99
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6/26/2018
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M
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200000
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9/4/2013
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9/4/2023
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Abraxas Petroleum Common Stock
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200000
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$0
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0
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D
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Employee Stock Option
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$.97
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6/26/2018
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M
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76000
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3/11/2017
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3/11/2027
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Abraxas Petroleum Common Stock
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76000
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$0
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0
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D
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Employee Stock Option
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$2.39
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6/26/2018
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M
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24000
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5/14/2014
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5/14/2023
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Abraxas Petroleum Common Stock
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24000
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$0
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0
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D
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Employee Stock Option
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$1.31
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6/26/2018
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M
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25000
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8/9/2017
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8/9/2026
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Abraxas Petroleum Common Stock
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25000
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$0
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0
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D
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Explanation of Responses:
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(1)
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Cancellation of restricted shares.
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(2)
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Represents a "net exercise" of outstanding stock options. The reporting person received 122,173 shares of common stock on net exercise of option to purchase 325,000 shares of common stock. The Company withheld 202,827 shares of common stock underlying the options for payment of the exercise price using the closing stock price on June 26, 2018 of $2.77.
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Remarks:
Amended to correct the opening balance of Direct Ownership shares on Table I.
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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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King Geoffrey R.
18803 MEISNER DRIVE
SAN ANTONIO, TX 78258
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Former VP - CFO
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Signatures
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Geooffrey R. King
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6/29/2018
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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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