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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Class A Warrant (right to buy) | $ 22.69 | 08/31/2010 | J(1) | 651 (2) | 08/31/2010 | 08/31/2017 | Common stock | 651 (2) | (1) | 651 (2) | D | ||||
Class B Warrant (right to buy) | $ 26.68 | 08/31/2010 | J(1) | 651 (2) | 08/31/2010 | 08/31/2017 | Common stock | 651 (2) | (1) | 651 (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ROBERTS JEFFREY W C/O U.S. CONCRETE, INC. 331 N. MAIN ST. EULESS, TX 76039 |
VP & GM - Ingram Concrete, LLC |
/s/ CiCi Sepehri, as Attorney-in-Fact for Jeffrey W. Roberts | 05/12/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Pursuant to U.S. Concrete, Inc.'s Amended Joint Plan of Reorganization, which was approved by the United States Bankruptcy Court for the District of Delaware, each share of common stock and each option to purchase common stock was cancelled, and holders of the common stock received their proportionate share of Class A Warrants and Class B Warrants to purchase common stock, effective August 31, 2010. |
(2) | This amendment has been filed to correct the number of derivative securities acquired, the number of shares underlying the derivative securities and the number of derivative securities beneficially owned following the reported transactions. The correct number for each of those items is 651 as originally reported on the Form 4 filed on 9/02/2010 (the "Original Form 4"). The amendment to the Original Form 4 filed on November 17, 2015 incorrectly amended the Original Form 4 to report that such number is 486 rather than 651. The Form 4 filed November 17, 2015 and the Form 4/A filed November 18, 2015 should report that 165 Class A Warrants and 165 Class B Warrants are beneficially owned following the reported transaction, rather than 0. |