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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 | ||||||||
Warrants (1) | $ 40 | 08/28/2013 | J | V | 411 | 08/28/2013 | 08/31/2016 | Common Stock | 411 | $ 0 | 411 | D (2) | |||
Warrants (1) | $ 40 | 08/28/2013 | J | V | 348,046 | 08/28/2013 | 08/31/2016 | Common Stock | 348,046 | $ 0 | 348,046 | D (3) | |||
Warrants (1) | $ 40 | 08/28/2013 | J | V | 105,933 | 08/28/2013 | 08/31/2016 | Common Stock | 105,933 | $ 0 | 105,933 | D (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TISCH DANIEL R 500 PARK AVENUE NEW YORK, NY 10022 |
X | X | ||
TOWERVIEW LLC 500 PARK AVENUE NEW YORK, NY 10022 |
X | X | ||
DT Four Partners, LLC 655 MADISON AVENUE 11TH FLOOR NEW YORK, NY 10065 |
X | X |
/s/ Daniel R. Tisch | 09/03/2013 | |
**Signature of Reporting Person | Date | |
TowerView LLC by /s/ Daniel R. Tisch General Member | 09/03/2013 | |
**Signature of Reporting Person | Date | |
DT Four Partners, LLC by /s/ Daniel R. Tisch | 09/03/2013 | |
**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 Warrants were distributed by the issuer to all holders of record of Common Stock on August 28, 2013 and expire on August 31, 2016, subject to the issuer's right to accelerate the expiration date under certain circumstances when the Warrants are in the money. |
(2) | This Form 4 is being filed jointly by Daniel R. Tisch, TowerView LLC and DT Four Partners, LLC. Daniel R. Tisch is General Member of TowerView LLC and DT Four Partners, LLC and may be deemed to have a pecuniary interest in securities owned by them. These Warrants are held directly by Daniel R. Tisch. |
(3) | These Warrants are held directly by TowerView LLC. |
(4) | These Warrants are held directly by DT Four Partners, LLC. |