FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/20/2013 |
3. Issuer Name and Ticker or Trading Symbol
HORNBECK OFFSHORE SERVICES INC /LA [ HOS ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
COMMON STOCK | 11,154 | D | |
COMMON STOCK | 608(1) | D | |
COMMON STOCK | 378(2) | D | |
COMMON STOCK | 8,300(3) | D | |
COMMON STOCK | 3,557(4) | D |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
COMMON STOCK (right to buy) | 02/22/2006(5) | 02/22/2015 | COMMON STOCK | 4,500 | $23.1 | D | |
COMMON STOCK (right to buy) | 02/14/2007(6) | 02/14/2016 | COMMON STOCK | 5,212 | $33.15 | D | |
PHANTOM RSU, CASH-ONLY RIGHTS | 02/14/2015(7) | 02/14/2015 | COMMON STOCK | 1,400 | (7) | D |
Explanation of Responses: |
1. These time-vest restrictred stock awards will vest in three equal annual installments on the 1st, 2nd and 3rd anniversaries of the February 23, 2011 Grant Date. The reported amount of securities beneficially owned reflect the remaining restricted stock awards in this grant. |
2. These time-vest restricted stock awards will vest in full on the 3rd anniversary of the February 23, 2011 Grant Date. |
3. These time-vest restricted stock awards will vest in three equal annual installments on the 1st, 2nd, and 3rd anniversaries of the February 5, 2013 Grant Date. |
4. These performance-vest restricted stock awards can vest in whole or in part on the 3rd, 4th, and/or 5th anniversaries of the February 5, 2013 Grant Date based upon the Company achieving certain levels of specified performance objectives. |
5. The option provides for vesting in three equal annual installments on the 1st, 2nd and 3rd anniversaries of the February 22, 2005 Grant Date. |
6. The option provides for vesting in three equal annual installments on the 1st, 2nd and 3rd anniversaries of the February 14, 2006 Grant Date. |
7. These time-vest phantom restricted stock unit awards will vest in three equal annual installments on the 1st, 2nd and 3rd anniversaries of the February 14, 2012 Grant Date, each is the economic equivalent of one share of Common stock, and the phantom shares are payable only in cash based on the market price of the Company's stock on that date. |
/s/ Timothy P. McCarthy | 06/25/2013 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |