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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 | |
Shaw Deborah 2908 MAPLE AVENUE MANHATTAN BEACH, CA 90266 |
X | X |
/s/ Deborah Shaw | 10/23/2008 | |
**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) | Includes 123,766 shares owned by the Estate of William Shaw. As co-executrix of the Estate, the reporting person may be deemed to directly beneficially own those shares of which she is the beneficiary. The reporting person's sister Linda Shaw also has a beneficial interest in shares held by the Estate. Also includes 1,000,000 shares held in two trusts for the reporting person's benefit of which the reporting person is the sole trustee. |
(2) | The Estate distributed 500,000 shares on October 21, 2008 to a trust for the benefit of Linda Shaw of which Linda Shaw is the sole trustee. Linda Shaw is the reporting person's sister. |
(3) | Represents shares owned by the Estate of William Shaw which shares will ultimately be distributed to or for the benefit of Linda Shaw, the reporting person's sister. |
(4) | The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. |
(5) | Held by the reporting person as co-trustee of trusts for the benefit of the children of Linda Shaw, the reporting person's sister. Linda Shaw and Bruce Goodman, Linda Shaw's spouse, are also co-trustees of these trusts. |
(6) | Held by the reporting person's spouse as custodian under the California Uniform Transfers to Minors Act for the benefit of her children. |
(7) | Held by the reporting person as co-trustee of a trust for the benefit of her sister Linda Shaw. |
(8) | Held by the reporting person as custodian under the California Uniform Transfers to Minors Act for the benefit of her children. |
(9) | Held by the reporting person as a director of the William and Jacqueline Shaw Family Foundation, Inc. |