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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 | |
KVO Capital Management, LLC 44 S. MAIN STREET, BOX 17 HANOVER, NH 03755 |
Member of 13(d) group w/ 10%+ | |||
Oberting Kernan V C/O KVO CAPITAL MANAGEMENT, LLC 44 S. MAIN STREET, BOX 17 HANOVER, NH 03755 |
Member of 13(d) group w/ 10%+ | |||
ASHTON ROBERT B C/O KVO CAPITAL MANAGEMENT, LLC 44 S. MAIN STREET, BOX 17 HANOVER, NH 03755 |
Member of 13(d) group w/ 10%+ |
/s/ Rena Marie Strand, as attorney-in-fact for KVO Capital Management, LLC | 04/21/2009 | |
**Signature of Reporting Person | Date | |
/s/ Rena Marie Strand, as attorney-in-fact for Kernan V. Oberting | 04/21/2009 | |
**Signature of Reporting Person | Date | |
/s/ Rena Marie Strand, as attorney-in-fact for Robert B. Ashton | 04/21/2009 | |
**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) | Includes 13,866 shares purchased for private accounts over which KVO has both voting and dispositive power pursuant to contract, other than the private account on behalf of Mr. Ashton, and 1,716 shares purchased for a private account on behalf of Mr. Ashton over which KVO has both voting and dispositive power pursuant to contract. |
(2) | Includes $0.01 commission per share. |
(3) | Includes 345,143 shares held in private accounts over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over shares held in these accounts is revocable on or after December 31, 2010. Also includes 35,685 shares held in a private account on behalf of Mr. Ashton, a portfolio manager of KVO, over which KVO has both voting and dispositive power pursuant to contract. KVO's voting and dispositive power over these shares is revocable only if Mr. Ashton terminates his employment with KVO, at which time the right to vote and dispose of those shares will revert to him. |
(4) | Mr. Oberting is the Managing Member of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Oberting may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Oberting disclaims beneficial ownership of any of the securities covered by this Form 4. |
(5) | Mr. Ashton is a portfolio manager of KVO. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934 (the "Exchange Act"), Mr. Ashton may be deemed to beneficially own all of the shares that KVO is deemed to beneficially own. Mr. Ashton disclaims beneficial ownership of any of the securities covered by this Form 4 other than the shares held in a private account on behalf of Mr. Ashton and reported above. |
(6) | Includes 22,505 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 2,782 shares purchased for a private account on behalf of Mr. Ashton. |
(7) | Includes 367,648 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,467 shares held in a private account on behalf of Mr. Ashton. |
(8) | Includes 267 shares purchased for private accounts other than the private account on behalf of Mr. Ashton and 33 shares purchased for a private account on behalf of Mr. Ashton. |
(9) | Includes 367,915 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,500 shares held in a private account on behalf of Mr. Ashton. |
(10) | Includes 368,182 shares held in private accounts other than the private account on behalf of Mr. Ashton and 38,533 shares held in a private account on behalf of Mr. Ashton. |