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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 | |
Mittal Arun 2631 MEADOW HALL DRIVE HERNDON, VA 20171 |
Corporate Secretary, Treasurer |
Arun Mittal | 08/15/2012 | |
**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) | 10,000 restricted shares of common stock were awarded to Caravan Partners LLC on August 13, 2012, pursuant to the Trust's 2012 Equity Incentive Plan; the award vests in three-equal annual installments beginning with the first anniversary of the grant. Mr. Mittal provides business development and other services to the Trust through Caravan Partners LLC. |
(2) | A non-qualified option to acquire 60,000 shares of common stock were awarded to Caravan Partners LLC on August 13, 2012, pursuant to the Trust's 2012 Equity Incentive Plan; the award vests in three-equal annual installments beginning with the first anniversary of the grant, have a ten-year term and a strike price equal to the closing price of the stock on August 13, 2012. Mr. Mittal provides business development and other services to the Trust through Caravan Partners LLC. |
(3) | Arun Mittal has beneficial ownership of 78,000 shares: 8,000 directly and 70,000 indirectly through Mr. Mittal's wholly-owned affiliate, Caravan Partners LLC. |