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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 | |
WVCP Management, LLC C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
X | |||
WestView Capital Management, L.P. C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
X | |||
WestView Capital Partners LP C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
X | |||
von Schroeter Carlo C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
X | X | ||
WILLIAMS RICHARD J C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
X |
/s/ Carlo A. von Schroeter WVCP Management, LLC By: Carlo A. von Schroeter, Manager | 02/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Carlo A. von Schroeter WestView Capital Management, L.P. By: WVCP Management, LLC By: Carlo A. von Schroeter, Manager | 02/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Carlo A. von Schroeter WestView Capital Partners, L.P. By: WestView Capital Management, L.P. By: WVCP Management, LLC By: Carlo A. von Schroeter, Manager | 02/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Carlo A. von Schroeter Carlo A. von Schroeter | 02/16/2011 | |
**Signature of Reporting Person | Date | |
/s/ Richard J. Williams Richard J. Williams | 02/16/2011 | |
**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) | Represents securities held of record by WestView Capital Partners, L.P., or WestView. WVCP Management, LLC, or WVCP, the sole general partner of WestView Capital Management, L.P., which is the sole general partner of WestView, has sole voting and dispositive power over these shares. The managers of WVCP having shared voting and dispositive power over these shares are Carlo A. von Schroeter, who is also a director of the Issuer, and Richard J. Williams, each of whom disclaims beneficial ownership of such shares except to the extent of their pecuniary interest therein. |