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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 300 CRESCENT COURT, SUITE 700 DALLAS, TX 75201 |
Affiliated Person |
/s/ James D. Dondero | 10/24/2014 | |
**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) | The Reporting Person inadvertently reported the securities reported on a Form 4 filed with the Securities and Exchange Commission on August 17, 2012 and each of the subsequent Form 4 filings as directly held when such securities were and are indirectly held by a trust of which the Reporting Person is trustee. The amount of securities reported herein reflects the number of shares beneficially owned by the Reporting Person as of the date of this filing after taking into account each of the transactions listed herein. |
(2) | Includes 63.5130 shares acquired on December 31, 2012 under the issuer's dividend reinvestment plan. |
(3) | Includes 60.62 shares acquired on January 31, 2013, 67.442 shares acquired on March 29, 2013, 67.665 shares acquired on April 30, 2013, and 70.71 shares acquired on May 31, 2013 under the issuer's dividend reinvestment plan. |
(4) | Includes 50.13 shares acquired on June 7, 2013 under the issuer's dividend reinvestment plan. |
(5) | Includes 60.32 shares acquired on July 8, 2013, and 80.4850 shares acquired on July 1, 2013 under the issuer's dividend reinvestment plan. |
(6) | Includes 63.03 shares acquired on August 7, 2013, and 86.2590 shares acquired on August 30, 2013 under the issuer's dividend reinvestment plan. |
(7) | Includes 66.72 shares acquired on September 12, 2013 under the issuer's dividend reinvestment plan. |
(8) | Includes 83.2670 shares acquired on September 30, 2013 under the issuer's dividend reinvestment plan. |
(9) | Includes 65.57 shares acquired on October 9, 2013 under the issuer's dividend reinvestment plan. |
(10) | Includes 77.6240 shares acquired on October 31, 2013 under the issuer's dividend investment plan. |
(11) | Includes 60.97 shares acquired on November 14, 2013 under the issuer's dividend reinvestment plan. |
(12) | Includes 72.4270 shares acquired on November 29, 2013 under the issuer's dividend reinvestment plan. |
(13) | Includes 59.74 shares acquired on December 7, 2013, and 65.7550 shares acquired on December 31, 2013 under the issuer's dividend reinvestment plan. |
(14) | Includes 60.55 shares acquired on January 17, 2014 under the issuer's dividend reinvestment plan. |
(15) | Includes 65.0560 shares acquired on January 31, 2014, and 57.30 shares acquired on February 6, 2014 under the issuer's dividend reinvestment plan. |
Remarks: Form 1 of 2 |