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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 | |
HARTE HOUSTON H 200 CONCORD PLAZA DR. SUITE 800 SAN ANTONIO, TX 78216 |
X | X |
Paul Steven Hacker, Power of Attorney | 04/26/2005 | |
**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 capitalization of three family limited partnerships, the Reporting Person contributed and transferred 1,033,900 shares directly to each of DHH 2005 Partners, L.P. and HRH 2005 Partners, L.P. and 990,693 shares directly to SEH 2005 Partners, L.P., of each of which he was then the sole limited partner. He also contributed and transferred 1,035 shares directly to each of DHH 2005 Partners GP, Inc. and HRH 2005 Partners GP, Inc. and 992 shares directly to SEH 2005 Partners GP, Inc., each of which is the sole corporate general partner of its related family limited partnership. The Reporting Person is the sole shareholder of each such corporation. Each of the sole general partners then contributed and transferred their shares to their related limited partnership in connection with the capitalization of the three family limited partnerships. |
(2) | The Reporting Person assigned all of the limited partnership interests in each of DHH 2005 Partners, L.P., HRH 2005 Partners, L.P. and SEH 2005 Partners, L.P., representing 99.9% of the partnership interests in such partnerships, to one of three irrevocable trusts. He is not the trustee of any such trust and has no pecuniary interest therein. The Reporting Person disclaims any beneficial interest in the shares held by the trusts, except as a result of the 0.1% partnership interest held in the three family limited partnerships indirectly through the general partners thereof. |