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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 | |
GOLDSMITH RUSSELL D 400 N. ROXBURY DRIVE BEVERLY HILLS, CA 90210 |
X | X | President and CEO |
/s/ Russell Goldsmith | 11/30/2012 | |
**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) | Represents the number of shares attributable to a mandatory distribution of a .624% minority membership interest in Maple-Pine Limited Partnership to trust beneficiary by reporting person as trustee. The distribution was made pursuant to the terms of the trust for no consideration. No underlying shares of issuer held by Maple-Pine Limited Partnership were transferred as a result of this transaction. |
(2) | Represents the number of shares attributable to a mandatory distribution of a .624% minority membership interest in Maple-Pine Limited Partnership to trust beneficiary by reporting person as trustee. The distribution was made pursuant to the terms of the trust for no consideration. No underlying shares of issuer held by Maple-Pine Limited Partnership were transferred as a result of this transaction. |
(3) | Represents the number of shares attributable to a mandatory distribution of a 73.291% interest in a limited liability company established for estate planning purposes, which in turn owns a minority interest in B.A. Quintet LLC, to trust beneficiary by reporting person as trustee. The distribution was made pursuant to the terms of the trust for no consideration. No underlying shares of issuer held by B.A. Quintet LLC were transferred as a result of this transaction. |
(4) | Represents the total number of issuer shares held by Maple-Pine Limited Partnership in which the trust holds a minority interest. The reporting person disclaims beneficial ownership of issuer stock held by Maple-Pine Limited Partnership, except to the extent of his pecuniary interest therein. No underlying shares of issuer held by Maple-Pine Limited Partnership were transferred as a result of the reported transactions. |
(5) | Represents the total number of issuer shares held by B.A. Quintet LLC. The trust holds an interest in a limited liability company established for estate planning purposes, which in turn owns a minority interest in B.A. Quintet LLC. The reporting person disclaims beneficial ownership of issuer shares held by B.A. Quintet LLC, except to the extent of his pecuniary interest therein. No underlying shares of issuer held by B.A. Quintet LLC were transferred as a result of the reported transaction. |
(6) | Shares held in the reporting person's profit sharing plan as of November 30, 2012. |
(7) | The reporting person disclaims beneficial ownership of these securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |