Statement of Changes in Beneficial Ownership (4)
April 03 2020 - 2:07PM
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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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
*
Kornblau Scott Lee |
2. Issuer Name and Ticker or Trading Symbol
DIAMOND OFFSHORE DRILLING, INC.
[
DO
]
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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) Senior Vice President - CFO |
(Last)
(First)
(Middle)
15415 KATY FREEWAY SUITE 100 |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/1/2020 |
(Street)
HOUSTON, TX 77094
(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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Common Stock | 4/1/2020 | | M | | 1261 | A | (1) | 3922 | D | |
Common Stock | 4/1/2020 | | F | | 308 | D | $1.59 | 3614 | D | |
Common Stock | 4/1/2020 | | M | | 988 | A | (1) | 4602 | D | |
Common Stock | 4/1/2020 | | F | | 241 | D | $1.59 | 4361 | D | |
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) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Restricted Stock Units | (1) | 4/1/2020 | | M | | | 1261 | (2) | (2) | Common Stock | 1261 | $0.00 | 0 | D | |
Restricted Stock Units | (1) | 4/1/2020 | | M | | | 988 | (3) | (3) | Common Stock | 988 | $0.00 | 987 | D | |
Explanation of Responses: |
(1) | Restricted stock units convert into common stock on a one-for-one basis. |
(2) | The restricted stock units that were awarded on April 1, 2017 vest in two equal installments on April 1, 2019 and April 1, 2020. One share of common stock will be delivered with respect to each vested restricted stock unit within 30 days after the applicable vesting date. |
(3) | The restricted stock units that were awarded on April 1, 2018 vest in two equal installments on April 1, 2020 and April 1, 2021. One share of common stock will be delivered with respect to each vested restricted stock unit within 30 days after the applicable vesting date. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Kornblau Scott Lee 15415 KATY FREEWAY SUITE 100 HOUSTON, TX 77094 |
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| Senior Vice President - CFO |
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Signatures
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/s/ Terence W. Waldorf
Attorney-in-Fact for
Scott L. Kornblau | | 4/3/2020 |
**Signature of Reporting Person | Date |
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