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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 | ||||||||
Common Stock Purchase Warrant (2) | $ 2 | 11/07/2016 | X | 125,000 | 06/30/2016 | 06/30/2021 | Common Stock, par value $0.01 per share | 125,000 | $ 2 | 0 | D | ||||
Common Stock Purchase Warrant (3) | $ 2 | 11/07/2016 | X | 218,750 | 06/30/2016 | 06/30/2021 | Common Stock, par value $0.01 per share | 218,750 | $ 2 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
White Winston Select Asset Funds, LLC 265 FRANKLIN ST., SUITE 1702 BOSTON, MA 02110 |
X | |||
Enright Todd M. C/O WHITE WINSTON SELECT ASSET FUNDS LLC 265 FRANKLIN ST., SUITE 1702 BOSTON, MA 02110 |
X | |||
BLUNDELL MARK C/O WHITE WINSTON SELECT ASSET FUNDS LLC 265 FRANKLIN ST., SUITE 1702 BOSTON, MA 02110 |
X | |||
Feagan Donald C/O WHITE WINSTON SELECT ASSET FUNDS LLC 265 FRANKLIN ST., SUITE 1702 BOSTON, MA 02110 |
X |
White Winston Select Asset Funds, LLC, By: /s/ Todd M. Enright, Todd M. Enright, Manager | 11/17/2016 | |
**Signature of Reporting Person | Date | |
/s/ Todd M. Enright | 11/17/2016 | |
**Signature of Reporting Person | Date | |
/s/ Mark Blundell | 11/17/2016 | |
**Signature of Reporting Person | Date | |
/s/ Donald Feagan | 11/17/2016 | |
**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) | Shares repurchased by the Issuer in a partial issuer tender offer. |
(2) | The number of shares for which this warrant is exercisable and the exercise price were adjusted for a 8-for-1 reverse split of the Issuer's Common Stock on September 27, 2016. |
(3) | The number of shares for which this warrant is exercisable and the exercise price were adjusted for a 8-for-1 reverse split of the Issuer's Common Stock on September 27, 2016. |