Statement of Changes in Beneficial Ownership (4)
May 13 2021 - 12:37PM
Edgar (US Regulatory)
FORM 4
[X]
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
*
BRATTAIN DONALD R |
2. Issuer Name and Ticker or Trading Symbol
TYLER TECHNOLOGIES INC
[
TYL
]
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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)
5101 TENNYSON PARKWAY |
3. Date of Earliest Transaction
(MM/DD/YYYY)
5/11/2021 |
(Street)
PLANO, TX 75024
(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 | 5/12/2021 | | M | | 753 | A | (1) | 1903 (2) | D | |
Common Stock | | | | | | | | 5422 | I | See footnote (2) (2) |
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) | 5/12/2021 | | M | | | 753 | (3) | (3) | Common Stock | 753 | $0 | 0 | D | |
Explanation of Responses: |
(1) | Restricted stock units convert into common stock on a one-for-one basis. |
(2) | Includes shares owned indirectly by the reporting person, as follows: (a) 2,762 shares held by Deephaven Enterprises, Inc., of which the reporting person is the sole shareholder; and (b) 2,660 shares held in an individual retirement account for the benefit of the reporting person's spouse. |
(3) | On May 12, 2020, the reporting person was granted 753 restricted stock units, which vested 100% on the first anniversary of the grant date and were settled by the Issuer on such date, subject to the terms and conditions of the Issuer's 2018 Stock Incentive Plan. |
Remarks: The reporting person retired as a director of the Issuer effective May 11, 2021. As a result, the reporting person is no longer subject to Section 16 in connection with his transactions in the equity securities of the Issuer and, therefore, will no longer report any such transactions on Form 4 or Form 5. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
BRATTAIN DONALD R 5101 TENNYSON PARKWAY PLANO, TX 75024 | X |
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Signatures
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Randall G. Ray, attorney-in-fact | | 5/13/2021 |
**Signature of Reporting Person | Date |
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