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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 | |
Housatonic Micro Fund SBIC, L.P. C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104 |
X | |||
Housatonic Micro Partners SBIC, L.L.C. C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X | |||
Housatonic Equity Investors IV LP C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X | |||
Housatonic Equity Affiliates IV LP C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X | |||
Housatonic Equity Partners IV, L.L.C. C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X | |||
Housatonic Equity Investors SBIC, L.P. C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X | |||
Housatonic Equity Partners SBIC, L.L.C. C/O HOUSATONIC PARTNERS 44 MONTGOMERY STREET, SUITE 4010 SAN FRANCISCO, CA 94104-4704 |
X |
/s/ Barry D. Reynolds, Manager, General Partner, Housatonic Micro Partners SBIC, L.L.C. for Housatonic Micro Fund SBIC, L.P. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager for Housatonic Micro Partners SBIC, L.L.C. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager, General Partner, Housatonic Equity Partners IV, L.L.C. for Housatonic Equity Investors IV, L.P. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager, General Partner, Housatonic Equity Partners IV, L.L.C. for Housatonic Equity Affiliates IV, L.P. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager for Housatonic Equity Partners IV, L.L.C. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager, General Partner, Housatonic Equity Partners SBIC, L.L.C. for Housatonic Equity Investors SBIC, L.P. | 08/03/2011 | |
**Signature of Reporting Person | Date | |
/s/ Barry D. Reynolds, Manager for Housatonic Equity Partners SBIC, L.L.C. | 08/03/2011 | |
**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 securities are owned by Housatonic Micro Fund SBIC, L.P. ("HMF SBIC"). Housatonic Micro Partners SBIC, L.L.C. ("HMP SBIC") serves as the general partner of HMF SBIC. As such, HMP SBIC possesses sole voting and investment control over the shares owned by HMF SBIC and may be deemed to have indirect beneficial ownership of the shares held by HMF SBIC. HMP SBIC owns no securities of the Issuer directly. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. |
(2) | The securities are owned by Housatonic Equity Investors IV, L.P. ("HEI IV"). Housatonic Equity Partners IV, L.L.C. ("HEP IV") serves as the general partner of HEI IV. As such, HEP IV possesses sole voting and investment control over the shares owned by HEI IV and may be deemed to have indirect beneficial ownership of the shares held by HEI IV. HEP IV owns no securities of the Issuer directly. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. |
(3) | The securities are owned by Housatonic Equity Investors SBIC, L.P. ("HEI SBIC"). Housatonic Equity Partners SBIC, L.L.C. ("HEP SBIC") serves as the general partner of HEI SBIC. As such, HEP SBIC possesses sole voting and investment control over the shares owned by HEI SBIC and may be deemed to have indirect beneficial ownership of the shares held by HEI SBIC. HEP SBIC owns no securities of the Issuer directly. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. |
(4) | The securities are owned by Housatonic Equity Affiliates IV, L.P. ("HEA IV"). HEP IV serves as the general partner of HEA IV. As such, HEP IV possesses sole voting and investment control over the shares owned by HEA IV and may be deemed to have indirect beneficial ownership of the shares held by HEA IV. HEP IV owns no securities of the Issuer directly. Each Reporting Person disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. |