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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options (Right to Buy) | 09/12/2014 | 09/12/2021 | Common Stock | 13,334 | $ 5.8 | D | Â |
Stock Options (Right to Buy) | 02/28/2015 | 02/28/2022 | Common Stock | 8,333 | $ 5.83 | D | Â |
Stock Options (Right to Buy) | 03/01/2016 | 03/07/2018 | Common Stock | 19,960 | $ 6.28 | D | Â |
Stock Options (Right to Buy) | Â (1) | 02/28/2019 | Common Stock | 21,285 | $ 7.09 | D | Â |
Stock Options (Right to Buy) | Â (2) | 03/03/2020 | Common Stock | 22,900 | $ 2.75 | D | Â |
Stock Options (Right to Buy) | Â (3) | 03/01/2021 | Common Stock | 20,500 | $ 2.66 | D | Â |
Restricted Stock Units | Â (4) | 03/01/2017 | Common Stock | 2,572 | $ (4) | D | Â |
Restricted Stock Units | Â (5) | 03/01/2018 | Common Stock | 5,560 | $ (5) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mawdsley Susan Lynn C/O GRAN TIERRA ENERGY INC. 200, 150-13 AVENUE SW CALGARY, A0 T2R 0V2 |
 |  |  See Remarks |  |
/s/ Diane Phillips, Attorney-In Fact | 07/01/2016 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | One-third of the stock options were vested on 02/28/15, an additional one-third of the stock options were vested on 02/28/16 and the remaining one-third of the stock options will vest on 02/28/17. |
(2) | One-third of the stock options were vested on 03/04/16, an additional one-third of the stock options will vest on 03/04/17 and the remaining one-third of the stock options will vest on 03/04/17. |
(3) | One-third of the stock options will vest on 03/02/17, an additional one-third of the stock options will vest on 03/02/18 and the remaining one-third of the stock options will vest on 03/02/19. |
(4) | Each restricted stock unit represents a contingent right to receive one share of Gran Tierra Energy Inc. common stock. The restricted stock units vest in three equal consecutive annual instalments with the remaining one-third vesting on March 1, 2017. |
(5) | Each restricted stock unit represents a contingent right to receive one share of Gran Tierra Energy Inc. common stock. The restricted stock units vest in three equal consecutive annual instalments with the remaining two-thirds vesting on March 1, 2017 and March 1, 2018. |
 Remarks: Officer Title - VP Finance and Corporate Controller. Exhibit 24 - Power of Attorney |