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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 | |
DONDERO JAMES D 13455 NOEL ROAD SUITE 800 DALLAS, TX 75240 |
PRESIDENT |
/s/ JAMES D. DONDERO | 05/05/2008 | |
**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) | Represents purchases on May 1, 2008 of 13,767 shares by Highland Capital Management Retirement Plan and Trust (the "Retirement Plan and Trust"), and 26,333 shares by the Highland 401(k) (the "401(k) Plan"). |
(2) | Represents purchases on May 2, 2008 of 13,767 shares by the Retirement Plan and Trust, and 26,333 shares by the 401(k) Plan. |
(3) | As of the close of business on May 2, 2008 includes (i) 110,026 shares held by the Retirement Plan and Trust, (ii) 103,004 shares held by the 401(k) Plan, (iii) 35,608 shares held by Highland Capital Management Services, Inc. ("HCMS"), and (iv) 337,336 shares held by Highland Capital Management, L.P. ("HCMLP"). |
(4) | Mr. Dondero is a Founder and President of HCMLP. HCMLP is the investment adviser for Highland Credit Strategies Fund. The 401(k) Plan and the Retirement Plan and Trust are maintatined by HCMLP for the benefit of employees. Mr. Dondero owns an interest in HCMS. The 401(k) Plan, Retirement Plan and Trust and HCMLP expressly disclaim beneficial ownership of the securities reported herein. Each of HCMS and Mr. Dondero expressly disclaims beneficial ownership of the securities reported herein, except to the extent of its or his pecuniary interest therein. |