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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 | |
BRONSON STEVEN N 3990-B HERITAGE OAK CT. SIMI VALLEY, CA 93063 |
X | X | CEO and President | |
BKF CAPITAL GROUP INC 3990-B HERITAGE OAK CT. SIMI VALLEY, CA 93063 |
X |
/s/ Steven N. Bronson | 10/03/2014 | |
**Signature of Reporting Person | Date | |
/s/ Steven N. Bronson as the CEO of BKF Capital Group, Inc. | 10/03/2014 | |
**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) | These shares of Qualstar Corporation (Qualstar) were purchased by BKF Asset Holdings, LLC (BKF Holdings) in open market transactions. BKF Holdings is a wholly owned subsidiary of BKF Capital Group, Inc. (BKF Capital). |
(2) | BKF Holdings owns 779,419 shares of Qualstar. BKF Capital may be deemed the beneficial owner of 2,855,120 shares of Qualstar, consisting of 2,075,701 shares owned directly by BKF Capital, and an additional 779,419 shares owned through BKF Holdings. Steven N. Bronson, as the Chairman, CEO and majority shareholder of BKF Capital, may be deemed to be the beneficial owner of the shares of Qualstar held by BKF Capital. Steven N. Bronson is the owner and an additional 57,700 shares of Qualstar. |
(3) | BKF Holdings owns 784,533 shares of Qualstar. BKF Capital may be deemed the beneficial owner of 2,860,234 shares of Qualstar, consisting of 2,075,701 shares owned directly by BKF Capital, and an additional 784,533 shares owned through BKF Holdings. Steven N. Bronson, as the Chairman, CEO and majority shareholder of BKF Capital, may be deemed to be the beneficial owner of the shares of Qualstar held by BKF Capital. Steven N. Bronson is the owner and an additional 57,700 shares of Qualstar. |