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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 | |
| GROSS WILLIAM H C/O PIMCO 840 NEWPORT CENTER DRIVE, SUITE 100 NEWPORT BEACH, CA 92660 |
See Remarks | |||
| /s/ Michael Flaherty, Attorney-in-Fact for William H. Gross | 11/19/2010 | |
| **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) | As of July 9, 2010 (the "Effective Date"), the reporting person acquired shared investment control over the securities held by Child Trust #3 and therefore may be deemed to be the beneficial owner of such securities. The amount reflected in Box 5 represents securities acquired by Child Trust #3 prior to the Effective Date, as follows: (a) 26,500 shares on 11/13/2003 at $13.81 per share; (b) 4,600 shares on 11/14/2003 at $13.81 per share; (c) 18,900 shares on 11/18/2003 at $13.81 per share; (d) 5,000 shares on 6/28/2004 at $13.1650 per share (such price represents a weighted average price, as the shares were purchased in multiple transactions at prices ranging from $13.16 to $13.17, inclusive); and (e) 3,500 shares on 7/13/2006 at $14.65 per share. The foregoing transactions (a)-(e) are disclosed solely for informational purposes. The reporting person expressly disclaims beneficial ownership of securities held by Child Trust #3 to the extent held prior to the Effective Date. |
| (2) | As of the Effective Date, the reporting person acquired shared investment control over the securities held by Child Trust #6 and therefore may be deemed to be the beneficial owner of such securities. The amount reflected in Box 5 represents securities acquired by Child Trust #6 prior to the Effective Date, as follows: (a) 50,000 shares on 11/18/2003 at $13.81 per share; (b) 5,000 shares on 6/28/2004 at $13.155 per share (such price represents a weighted average price, as the shares were purchased in multiple transactions at prices ranging from $13.15 to $13.16, inclusive); and (c) 3,500 shares on 7/13/2006 at $14.65 per share. The foregoing transactions (a)-(c) are disclosed solely for informational purposes. The reporting person expressly disclaims beneficial ownership of securities held by Child Trust #6 to the extent held prior to the Effective Date. |
| (3) | As of the Effective Date, the reporting person acquired shared investment control over the securities held by Child Trust #8 and therefore may be deemed to be the beneficial owner of such securities. The amount reflected in Box 5 represents securities acquired by Child Trust #8 prior to the Effective Date, as follows: (a) 21,000 shares on 11/3/2003 at $13.8774 per share (such price represents a weighted average price, as the shares were purchased in multiple transactions at prices ranging from $13.83 to $13.90, inclusive); (b) 2,500 shares on 11/4/2003 at $13.90 per share; (c) 26,500 shares on 11/13/2003 at $13.81 per share; (d) 5,000 shares on 6/28/2004 at $13.145 per share (such price represents a weighted average price, as the shares were purchased in multiple transactions at prices ranging from $13.14 to $13.15, inclusive); and (e) 3,500 shares on 7/13/2006 at $14.65 per share. The foregoing transactions (a)-(e) are disclosed solely for informational purposes. |
| (4) | (Continued from Footnote 3.) The reporting person expressly disclaims beneficial ownership of securities held by Child Trust #8 to the extent held prior to the Effective Date. |
| (5) | Includes an aggregate of 25,359 shares acquired on various dates under a qualified dividend reinvestment plan. |
| Remarks: The Reporting Person is the Co-Chief Investment Officer of Pacific Investment Management Company LLC (PIMCO) and is a member of PIMCO's Executive Committee. PIMCO serves as sub-adviser of the Issuer. With respect to any weighted average price reported herein, the reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the applicable ranges referenced herein. Exhibit List: Exhibit 24 - Power of Attorney | |