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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 | |
DONDERO JAMES D 13455 NOEL RD. SUITE 800 DALLAS, TX 75240 |
X | |||
HIGHLAND CAPITAL MANAGEMENT LP 13455 NOEL RD. SUITE 800 DALLAS, TX 75240 |
X | |||
HIGHLAND CAPITAL MANAGEMENT SERVICES, INC. 13455 NOEL RD. SUITE 800 DALLAS, TX 75240 |
X | |||
Strand Advisors, Inc. 13455 NOEL RD. SUITE 800 DALLAS, TX 75240 |
X |
/S/ James D. Dondero | 05/31/2011 | |
**Signature of Reporting Person | Date | |
James D. Dondero | 05/31/2011 | |
**Signature of Reporting Person | Date | |
James D. Dondero | 05/31/2011 | |
**Signature of Reporting Person | Date | |
James D. Dondero | 05/31/2011 | |
**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) | This statement is jointly filed by and on behalf of each of Highland Capital Management, L.P., Strand Advisors, Inc., Highland Capital Management Services, Inc. ("HCM Services"), and James D. Dondero. Highland acts as an investment adviser to, and manages investment and trading accounts of, other persons and may be deemed, through investment advisory contracts, including sub-advisory agreements, or its position as general partner (or control thereof), or otherwise, to beneficially own securities owned by other persons. Strand Advisors is the general partner of Highland and may be deemed to beneficially own securities owned by Highland. Mr. Dondero is the President and a director of Strand Advisors and may be deemed to beneficially own securities owned by Strand Advisors. |
(2) | Each reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that such person is, for purposes of Section 16 of the Act or otherwise, the beneficial owners of any securities covered by this statement. Each reporting person disclaims beneficial ownership of the securities covered by this statement, except to the extent of the pecuniary interest of such person in such securities. |
(3) | HCM Services, may act as the general partner, or have direct or indirect control thereof, of various entities, and may be deemed to beneficially own securities owned by such entities. Mr. Dondero owns a controlling interest in HCM services and may be deemed to beneficially own securities owned by HCM services. |