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 | |
KINDERHOOK PARTNERS, LP ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
 |  X |  |  |
KINDERHOOK GP LLC ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
 |  X |  |  |
CLEARMAN STEPHEN J ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
 |  X |  |  |
Shah Tushar ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
 |  X |  |  |
/s/ Tushar Shah, Managing Member of General Partner | 04/01/2011 | |
**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 reported securities (the "Securities") are held directly by Kinderhook Partners, LP ("Kinderhook") and indirectly by Kinderhook GP, LLC ("KGP") as the general partner of Kinderhook, and by Tushar Shah ("Mr. Shah") and Stephen J. Clearman (Mr. Clearman") as the managing members of KGP. Each of KGP, Mr. Shah and Mr. Clearman disclaims beneficial ownership of the Securities except to the extent of its or his pecuniary interest therein. |
 Remarks: This report is filed jointly by Kinderhook, KGP, Mr. Shah and Mr. Clearman, all of whom are 10% owners. |