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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 | |
THORP JEFFREY 805 THIRD AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
Sonoma Capital, LP 805 THIRD AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
Sonoma Capital, LLC 805 THIRD AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X | |||
Sonoma Capital Management, LLC 805 THIRD AVENUE 16TH FLOOR NEW YORK, NY 10022 |
X |
Jeffrey Thorp, Managing Member of Sonoma Capital, LLC, general partner of Sonoma Capital, LP | 01/12/2012 | |
**Signature of Reporting Person | Date | |
Jeffrey Thorp, Managing Member of Sonoma Capital, LLC | 01/12/2012 | |
**Signature of Reporting Person | Date | |
Jeffrey Thorp, Managing Member of Sonoma Capital Management, LLC | 01/12/2012 | |
**Signature of Reporting Person | Date | |
Jeffrey Thorp, Managing Member of Jeffrey Thorp Roth IRA, HSBC Bank USA, N.A. as Custodian | 01/12/2012 | |
**Signature of Reporting Person | Date | |
Jeffrey Thorp | 01/12/2012 | |
**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) | Reflects the securities of the issuer owned directly by Sonoma Capital, LP. |
(2) | Reflects the securities of the issuer owned directly by Jeffrey Thorp Roth IRA, HSBC Bank USA, N.A. as Custodian (the "HSBC IRA"). |
(3) | Sonoma Capital, LLC is the general partner of Sonoma Capital, LP. Jeffrey Thorp is the managing member of Sonoma Capital, LLC. Sonoma Capital Management, LLC is the investment manager of Sonoma Capital, LP. Jeffrey Thorp is the managing member of Sonoma Capital Management, LLC. As a result, Sonoma Capital, LP, Sonoma Capital Management, LLC, Sonoma Capital, LLC and Jeffrey Thorp may be deemed to have shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares of Common Stock owned by Sonoma Capital, LP. |
(4) | Jeffrey Thorp is the controlling person of the HSBC IRA. As a result, Jeffrey Thorp may be deemed to have shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares of Common Stock owned by the HSBC IRA. |
(5) | For purposes of this Form 4, Jeffrey Thorp, Sonoma Capital, LLC and Sonoma Capital Management, LLC disclaim beneficial ownership of the shares of common stock owned by Sonoma Capital, LP and the HSBC IRA reported on this Form 4 except to the extent of their pecuniary interest therein. |