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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 | |
Hildebrand Andreas C/O BISON CAPITAL 780 THIRD AVENUE, 30TH FLOOR NEW YORK, NY 10017 |
X | X | ||
BISON CAPITAL PARTNERS IV, L.P. 233 WILSHIRE BOULEVARD, SUITE 245 SANTA MONICA, CA 90401 |
X | |||
Bison Capital Partners IV GP, L.P. 233 WILSHIRE BOULEVARD, SUITE 245 SANTA MONICA, CA 90401 |
X |
/s/ Andreas Hildebrand | 06/24/2016 | |
**Signature of Reporting Person | Date | |
/s/ Andreas Hildebrand, on behalf of Bison Capital Partners IV, L.P. | 06/24/2016 | |
**Signature of Reporting Person | Date | |
/s/ Andreas Hildebrand, on behalf of Bison Capital Partners IV GP, L.P. | 06/24/2016 | |
**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) | Half these shares vest immediately and half vest 6/23/2017. |
(2) | Granted pursuant to the 2010 Non-Employee Directors Stock Plan for Board and Committee service. |
(3) | The reporting person holds these securities for the benefit of Bison Capital Asset Management, LLC and disclaims beneficial ownership in such securities except to the extent of his pecuniary interest therein. Bison Capital Partners IV, L.P. and its general partner, Bison Capital Partners IV GP, L.P., each 10% owners, directors by deputization and joint filers, may also be deemed to have a pecuniary interest in such securities as a result of certain provisions in the limited partnership agreement. Bison Capital Partners IV, L.P. and Bison Capital Partners IV GP, L.P. each disclaims beneficial ownership except to the extent of its pecuniary interest therein. |