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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 | |
HANSEN HARALD C/O CRYSTAL RIVER CAPITAL, INC. 3 WORLD FIN CTR, 200 VESEY ST, 10TH FL NEW YORK, NY 10281 |
X |
/s/ Harald R. Hansen | 08/03/2010 | |
**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) | Deferred stock units awarded pursuant to the Issuer's 2005 Long-Term Incentive Plan (the "Plan") that, pursuant to the terms of the Merger Agreement (as defined below), received the Merger Consideration (as defined below) on the Closing Date (as defined below) in exchange for such deferred stock units. |
(2) | On February 23, 2010, CrystalRiver Capital, Inc. ("Crystal") and Brookfield Asset Management Inc.("Brookfield") entered into a merger agreement (the "Merger Agreement"), which provided for a merger in which Crystal would become a wholly-owned subsidiary of Brookfield 9the "Merger"). The Merger became effective on July 30, 2010 (the "Closing date"). At the effective time of the Merger, each oustanding share of Crystal common stock (other than treasury shares held by Crystal and shares held by wholly-owned subsidiaries of Brookfield) converted into the right to receive $0.60 in cash. |
(3) | On February 23, 2010, Crystal and Brookfield entered into the Merger Agreement, which provided for a merger in which Crystal would become a wholly-owned subsidiary of Brookfield. The Merger became effective on July 30, 2010. At the effective time of the Merger, each outstanding share of Crystal common stock (other than treasury shares held by Crystal and shares held by wholly-owned subsidiaries of Brookfield) converted into the right to receive $0.60 in cash. |