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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Plaumann Mark Lawrence 500 WEST TEXAS SUITE 1225 MIDLAND, TX 79701 |
X |
/s/ Randall J. Holder, as attorney-in-fact for Mark L. Plaumann | 07/17/2014 | |
**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) | These securities are restricted stock units that were granted under Diamondback Energy, Inc.'s (the "Issuer") 2012 Equity Incentive Plan. 934 of these restricted stock units vested on July 15, 2014, and the remaining 1,868 resticted stock units will vest in two equal annual installments beginning on July 1, 2015. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer, par value $0.01 per share. These restricted stock units have been assigned by Mr. Plaumann to Greyhawke Capital Advisors LLC, of which Mr. Plaumann is the principal and, as a result, Mr. Plaumann may be deemed to have pecuniary interest in these securities. |
(2) | This number includes 6,666 shares of common stock underlying restricted stock units granted in connection with the Issuer's IPO, which were previously reported in Table II. Of these 6,666 shares underlying restricted stock units, 4,444 have vested, and the remaining 2,222 restricted stock units will vest on October 11, 2014. Each restricted stock unit represents a contingent right to receive one share of common stock of the Issuer, par value $0.01 per share. |