SEC FORM 4/A SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
1. Name and Address of Reporting Person*
ROBERTSON DAVE

(Last) (First) (Middle)
2711 N. HASKELL AVENUE
SUITE 2200, LB 36

(Street)
DALLAS TX 75204

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
ZIX CORP [ ZIXI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
Director 10% Owner
X Officer (give title below) Other (specify below)
Vice President
3. Date of Earliest Transaction (Month/Day/Year)
02/26/2018
4. If Amendment, Date of Original Filed (Month/Day/Year)
02/28/2018
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock 02/26/2018 A 40,000(1) A $0.00 173,405(2) D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Grant under the Amended and Restated 2012 Incentive Plan (as amended, the "Plan") consists of 75% restricted stock that will vest pro-rata annually over 3 years and 25% restricted stock that will vest pro-rata up to 1/3 each year the Company achieves specific performance criteria in 2018-2020, subject to acceleration under conditions described in the Plan.
2. This Form 4/A amends the Form 4 filed by the Reporting Person on February 28, 2018. The amount of securities should have been reported as 173,405 shares of common stock directly beneficially owned by the Reporting Person. The incorrect report was due to a clerical rounding error from a Form 4 filed February 22, 2017 that was carried through subsequent Form 4 filings. The February 22, 2017 Form 4 mistakenly underreported a single security. Column 4 in Table I should have reported 6,667 securities acquired, and Column 5 in Table I should have reported 192,424 amount of securities beneficially owned. In addition, Column 5 in Table II should have reported 6,667 derivative securities disposed of, Column 7 in Table II should have reported amount of shares as 6,667, and Column 9 Table II should have reported 13,335 derivative securities beneficially owned.
Remarks:
/s/ Noah F. Webster, Attorney-in-Fact 10/15/2018
** 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 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).
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