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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 | |
BOSWORTH ROBERT E CHATTEM, INC. 1715 W. 38TH STREET CHATTANOOGA, TN 37409 |
X |
/s/ Robert E. Bosworth, by Heidi Hornung-Scherr, attorney-in-fact, pursuant to a POA previously filed with the SEC | 08/16/2007 | |
**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) | This amendment is being filed to reflect the indirect ownership of 2,000 shares of common stock held by the reporting person through his IRA since June 7, 2000, but inadvertently not reported. Subsequent filings on Forms 4 did not reflect this acquisition in Table 1, Item 5. |
(2) | Transaction on 7/27/07 was incorrectly reported as a direct purchase of stock when, in fact, stock was purchased indirectly through the reporting person's IRA. Consequently, directly owned shares have been reduced by 6,168, the total number of shares purchased on 7/27/07, and indirectly owned shares have been increased by 6,168. The balance of directly owned shares and shares owned indirectly through the reporting person's IRA were transposed on the Form 4 originally filed with the SEC on 5/12/05. Accordingly, the number of shares directly held by the reporting person has been decreased by 1,000 (was 2,000 previously), and the number of shares indirectly owned by the reporting person through the reporting person's IRA has been increased by 1,000 (was 1,000 previously). |
(3) | This amendment is also being filed to reflect the current balance of shares held by a charitable foundation for which the reporting person serves as director and officer. On 12/2/05, all 11,000 shares held by the charitable foundation were disposed, but inadvertently not reported. Subsequent filings on Forms 4 did not reflect this disposition in Table 1, Item 5. The reporting person disclaims beneficial ownership of such shares. |