UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Essex Equity Capital Management, LLC 375 HUDSON STREET 12TH FLOOR NEW YORK, NY 10014 |
 |  X |  |  |
Essex Equity Joint Investment Vehicle, LLC 375 HUDSON STREET 12TH FLOOR NEW YORK, NY 10014 |
 |  X |  |  |
Maher Basil C/O ESSEX EQUITY CAPITAL MANAGEMENT, LLC 70 SOUTH ORANGE AVENUE, SUITE 105 LIVINGSTON, NJ 07039 |
 |  X |  |  |
Maher M. Brian C/O ESSEX EQUITY CAPITAL MANAGEMENT, LLC 70 SOUTH ORANGE AVENUE, SUITE 105 LIVINGSTON, NJ 07039 |
 |  X |  |  |
/s/ John Liu, Chief Executive Officer of Essex Equity Capital Management, LLC | 11/30/2011 | |
**Signature of Reporting Person | Date | |
/s/ John Liu, Chief Executive Officer of Essex Equity Capital Management, LLC, investment manager of Essex Equity Joint Investment Vehicle, LLC | 11/30/2011 | |
**Signature of Reporting Person | Date | |
/s/ Basil Maher | 11/30/2011 | |
**Signature of Reporting Person | Date | |
/s/ M. Brian Maher | 11/30/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The amount of securities shown in this row is owned directly by Essex Equity Joint Investment Vehicle, LLC (the "Fund"). |
(2) | As the investment manager of the Fund, Essex Equity Capital Management, LLC (the "Investment Manager") may be deemed to be a beneficial owner of the Issuer's securities held by the Fund. The Investment Manager disclaims any beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, except to the extent of its pecuniary interest, if any. |
(3) | Each of Basil Maher and M. Brian Maher (collectively, the "Individual Reporting Persons"), as a member of the investment committee of the Investment Manager, may be deemed to be a beneficial owner of the Issuer's securities held by the Fund. Each of the Individual Reporting Persons disclaims beneficial ownership of any of the Issuer's securities reported herein for purposes of Section 16 of the Exchange Act, except to the extent of his pecuniary interest, if any. |