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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 | |
GOLDSMITH RUSSELL D 400 N. ROXBURY DRIVE BEVERLY HILLS, CA 90210 |
X | X | President and CEO |
/s/ Russell Goldsmith | 09/07/2011 | |
**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) | The reporting person has transferred these shares to B.A. Quintet, a California limited liability company (BA Quintet), of which he and his wife are managing members. As of August 31, 2011, BA Quintet is the successor by merger to California Quintet LLC, a Delaware limited liability (CA Quintet), who had the same members and managers as BA Quintet. The merger had the effect of changing CA Quintet's domicile but did not alter the proportionate interests of the members. |
(2) | The ownership reported includes 1,222 shares previously owned indirectly by CA Quintet. |
(3) | The reporting person disclaims beneficial ownership of City National Corporation stock held by BA Quintet except to the extent of his pecuniary interest therein. |
(4) | Represents mandatory distribution of a 5.868% minority membership interest in BA Quintet to trust beneficiary by reporting person as trustee. Distribution made pursuant to terms of trust for no consideration. No underlying shares of issuer held by BA Quintet were transferred. |
(5) | Shares held in the reporting person's profit sharing plan as of August 31, 2011. |
(6) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |