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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 | |
GENEVE CORP /DE/ 96 CUMMINGS POINT RD STAMFORD, CT 06902 |
X | |||
NASCO HOLDINGS, INC. 96 CUMMINGS POINT ROAD STAMFORD, CT 06902 |
Member of Section 13 Group | |||
SIC SECURITIES CORP. 96 CUMMINGS POINT ROAD STAMFORD, CT 06902 |
Member of Section 13 Group | |||
NETTER EDWARD 96 CUMMINGS POINT RD STAMFORD, CT 06902 |
X | Member of Section 13 Group |
Geneve Corporation, By Steven B. Lapin, President | 11/18/2009 | |
**Signature of Reporting Person | Date | |
Nasco Holdings, Inc., By Steven B. Lapin, President | 11/18/2009 | |
**Signature of Reporting Person | Date | |
SIC Securities Corp., By Steven B. Lapin, Vice President | 11/18/2009 | |
**Signature of Reporting Person | Date | |
Edward Netter | 11/18/2009 | |
**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) | In connection with the merger of LRTA, Inc. with and into the Issuer, the Reporting Person, Geneve Corporation, received 65 shares of Common Stock of the Issuer upon surrender of 65 shares of common stock of LRTA, Inc. The Reporting Person is a member of a "group" with Nasco Holdings, Inc., SIC Securities Corp. and EN for purposes of Section 13(d) of the Exchange Act. |
(2) | In connection with the merger of LRTA, Inc. with and into the Issuer, the Reporting Person, Nasco Holdings, Inc., received 922 shares of Common Stock of the Issuer, upon surrender of 922 shares of common stock of LRTA, Inc. The Reporting Person is a member of a "group" with Geneve Corporation, SIC Securities Corp. and Edward Netter for purposes of Section 13(d) of the Exchange Act. |
(3) | In connection with the merger of LRTA, Inc. with and into the Issuer, the Reporting Person, SIC Securities Corp., received 13 shares of Common Stock of the Issuer upon surrender of 13 shares of LRTA, Inc. The Reporting Person is a member of a "group" with Geneve Corporation, Nasco Holdings, Inc. and Edward Netter for purposes of Section 13(d) of the Exchange Act. |
(4) | In connection with the merger of LRTA, Inc. with and into the Issuer, the Reporting Person, Edward Netter, obtained indirect beneficial ownership of 1,000 shares of Common Stock of the Issuer. Mr. Netter has voting control of Geneve Corporation, and indirect voting control of each of Nasco Holdings, Inc. and SIC Securities Corp. Mr. Netter is a member of a "group" with Geneve Corporation, Nasco Holdings, Inc. and SIC Securities Corp for purposes of Section 13(d) of the Exchange Act. |