- Statement of Changes in Beneficial Ownership (4)
April 30 2010 - 4:37PM
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 Number:
3235-0287
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February 28, 2011
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
SCOGGINS MYLES W
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2. Issuer Name
and
Ticker or Trading Symbol
TRICO MARINE SERVICES INC
[
TRMA
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
1722 ILLINOIS STREET
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/28/2010
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(Street)
GOLDEN, CO 80401
(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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Phantom Stock
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(1)
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4/28/2010
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A
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10000
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(2)
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4/28/2017
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Common Stock
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10000
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$0
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10000
(3)
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D
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Stock Appreciation Rights
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$2.39
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4/28/2010
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A
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10000
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(4)
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4/28/2017
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Common Stock
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10000
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$0
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10000
(3)
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D
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Explanation of Responses:
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(
1)
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Each share of phantom stock represents the right to receive the fair market value of one share of Trico Marine Services, Inc. common stock.
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(
2)
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The phantom shares vest ratably over a three-year period from the grant date and are exercisable as follows: 33% on April 28, 2011, 33% on April 28, 2012 and 34% on April 28, 2013. These phantom shares entitle the reporting person to receive a cash settlement unless, prior to a vesting date, the Compensation Committee of Trico Marine Services, Inc.'s Board of Directors elects to make the payment in the form of Trico Marine Services, Inc. common stock.
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(
3)
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Represents only the derivative securities of this class.
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(
4)
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The SAR's vest ratably over a three-year period from the grant date and are exercisable as follows: 33% on April 28, 2011, 33% on April 28, 2012 and 34% on April 28, 2013. These SAR's entitle the reporting person to receive a cash settlement unless, prior to a vesting date, the Compensation Committee of Trico Marine Services, Inc.'s Board of Directors elects to make the payment in the form of Trico Marine Services, Inc. common stock.
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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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SCOGGINS MYLES W
1722 ILLINOIS STREET
GOLDEN, CO 80401
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X
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Signatures
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/s/ Rishi A. Varma on behalf of Myles W. Scoggins
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4/30/2010
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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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