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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 | |
WALKER STEVEN R 307 NORTH MICHIGAN AVENUE, STE 2300 CHICAGO, IL 60601 |
X |
William J. Dasso, Power of Attorney for Steven R. Walker | 10/25/2018 | |
**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) | On October 12, 2018, Reporting Person placed a purchase order for shares of Issuer's common stock with his financial advisor and then cancelled that order in a second conversation that immediately followed. From that conversation, Reporting Person understood that the purchase order was being cancelled, but the order was instead filled and an offsetting sale order was placed that same day. The financial advisor did not inform Reporting Person that the initial purchase order had not been cancelled and that two offsetting transactions had occurred. Reporting Person became aware of the reportable transactions only upon receipt of brokerage confirmations. As a result, the filing of this Statement of Changes in Beneficial Ownership was delayed. |
(2) | No transactions to report related to this indirect ownership of 3,500 shares. |
(3) | No transactions to report related to this indirect ownership of 22,500 shares. |
(4) | No transactions to report related to this direct ownership of 12,000 shares. |