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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 | |
WARE ALEXANDER H 8383 WILSHIRE BLVD, SUITE 750 BEVERLY HILLS, CA 90211 |
X |
/s/ Alexander H. Ware | 03/07/2018 | |
**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) | Represents director's fees of $25,000 for the first half of 2017 paid in stock pursuant to the Issuer's compensation plan for non-employee directors. |
(2) | Excludes 19,500 shares that are directly hheld by the reporting person but were previously included on the reporting persons Form 4 dated September 28, 2016, in the total number of shares reported as held indirectly by the reporring person vis-a-vis the Alexander H. Ware Revocable Trust u/a/d 12/20/04. |
(3) | Shares are held by the Alexander H. Ware Revocable Trust u/a/d 12/20/04. |
(4) | Represents director's fees of $25,000 for the second half of 2017 paid in stock pursuant to the Issuer's compensation plan for non-employee directors. |
(5) | Represents director's fees of $25,000 for the first half of 2018 paid in stock pursuant to the Issuer's compensation plan for non-employee directors. |