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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 C Participating Convertible Preferred Stock | (2) | 08/07/2007 | C | 250 | (2) | (2) | Common Stock | 33,391 (1) | $ 0 | 0 | I | By David J. Winton Trust (3) | |||
Series C Participating Convertible Preferred Stock | (2) | 08/07/2007 | C | 250 | (2) | (2) | Common Stock | 33,391 (1) | $ 0 | 0 | I | By Parsnip River Company, L.P. (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Winton David Michael C/O WINTON PARTNERS 1300 US TRST BUILDING, 730 SECOND AVE S. MINNEAPOLIS, MN 55402 |
X |
/s/ David M. Winton | 08/09/2007 | |
**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) | Reflects a 9 for 1 stock split, which the Issuer effected on August 7, 2007 through a dividend of 8 shares of its common stock for each share of its common stock outstanding immediately prior to consummation of the Issuer?s initial public offering. |
(2) | The series C participating convertible preferred stock converted into the Issuer?s common stock on approximately a 1 to 14.84 basis upon consummation of the Issuer?s initial public offering, and had no expiration date. |
(3) | The reporting person is the income beneficiary of the David J. Winton Trust and has sole investment and voting power over the securities owned by the David J. Winton Trust. |
(4) | The reporting person is the managing general partner of Parsnip River Company, L.P. |