UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Bachtold Paul Axtell 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 |  |  Chief Compliance Officer |  |
Gardner Frank Theodore III 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 |  |  | Portfolio Manager |
Partridge Lee George 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 |  |  | Portfolio Manager |
PRICE JOHN E 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 |  |  | Treasurer |
RADCLIFFE JEREMY L 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 |  |  | Secretary |
BLAISDELL JOHN A 4265 SAN FELIPE STREET 8TH FLOOR HOUSTON, TX 77027 |
 X |  |  |  |
LINBECK ANDREW B 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 X |  |  |  |
Reid Gregory Allen 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 X |  |  President |  |
SHERMAN A HAAG 4265 SAN FELIPE 8TH FLOOR HOUSTON, TX 77027 |
 X |  |  |  |
Paul A. Bachtold | 05/25/2011 | |
**Signature of Reporting Person | Date | |
John A. Blaisdell | 05/25/2011 | |
**Signature of Reporting Person | Date | |
Ted Gardner | 05/25/2011 | |
**Signature of Reporting Person | Date | |
Andrew B. Linbeck | 05/25/2011 | |
**Signature of Reporting Person | Date | |
Lee Partridge | 05/25/2011 | |
**Signature of Reporting Person | Date | |
John Price | 05/25/2011 | |
**Signature of Reporting Person | Date | |
Jeremy L. Radcliffe | 05/25/2011 | |
**Signature of Reporting Person | Date | |
Greg Reid | 05/25/2011 | |
**Signature of Reporting Person | Date | |
A. Haag Sherman | 05/25/2011 | |
**Signature of Reporting Person | Date |
No securities are beneficially owned | |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |