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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 | ||||||||
Series A Senior Convertible Preferred Stock | $ 0.3 (2) | 11/30/2004 | P | 333 (2) | 11/30/2004 | (3) | Common Stock | 333,000 (2) | $ 300 | 333 | I | By limited partnership (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HARTE CHRISTOPHER M 2 UNION STREET, 5TH FLOOR PORTLAND, ME 04101 |
X |
/s/ CHRISTOPHER M. HARTE | 12/02/2004 | |
**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) | Refers to shares of Common Stock owned by Spicewood Family Partners ("Spicewood"); the Reporting Person is the general partner of Spicewood and the beneficiary of a trust that is the sole limited partner of Spicewood. |
(2) | Refers to shares of Series A Senior Convertible Preferred Stock acquired by Spicewood Investments Partners 2004 L.P. ("Spicewood 2004"), a limited partnership in which the Reporting Person is a general partner. The initial conversion price per share is $.30 (subject to adjustment). Each share of Series A Preferred Stock is immediately convertible into 1,000 shares of common stock of the issuer (subject to adjustment upon the occurrence of certain events), at the option of the holder. The Reporting Person disclaims beneficial ownership of the shares of Common Stock beneficially owned by Spicewood 2004 that are in excess of his pecuniary interest therein. |
(3) | Not applicable. |