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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 | |
KINDERHOOK PARTNERS, LP ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
X | |||
CLEARMAN STEPHEN J ONE EXECUTIVE DRIVE, SUITE 160 SUITE 160 FORT LEE, NJ 07024 |
X | |||
KINDERHOOK GP LLC ONE EXECUTIVE DRIVE SUITE 160 FORT LEE, NJ 07024 |
X |
By: /s/ Stephen J. Clearman | 04/22/2010 | |
**Signature of Reporting Person | Date | |
Kinderhook GP, LLC By: /s/ Tushar Shah, Managing Member | 04/22/2010 | |
**Signature of Reporting Person | Date | |
Kinderhook Partners, LP By: Kinderhook GP, LLC, General Partner By: /s/ Tushar Shah, Managing Member | 04/22/2010 | |
**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) | These securities are held in the account of Kinderhook Partners, LP (the "Partnership") for which Kinderhook GP, LLC (the "General Partner") serves as general partner. Tushar Shah and Stephen J. Clearman are the managing members of the General Partner. The General Partner, Mr. Shah and Mr. Clearman may be deemed to beneficially own the securities held by the Partnership by virtue of the General Partner's position as the general partner of the Partnership and Mr. Shah's and Mr. Clearman's status as the managing members of the General Partner. Each of the Reporting Persons and the joint filers disclaim beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein, and this report shall not be deemed an admisson that the Reporting Person or any joint filer is the beneficial owner of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |