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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 | |
Lewis John Hartnett 388 MARKET STREET, SUITE 920 SAN FRANCISCO, CA 94111 |
X | |||
Osmium Partners, LLC 388 MARKET STREET, SUITE 920 SAN FRANCISCO, CA 94111 |
X | |||
OSMIUM CAPITAL LP 388 MARKET STREET, SUITE 920 SAN FRANCISCO,, CA 94111 |
X | |||
Osmium Capital II, LP 388 MARKET STREET, SUITE 920 SAN FRANCISCO, CA 94111 |
X | |||
OSMIUM SPARTAN L P 388 MARKET STREET, SUITE 920 SAN FRANCISCO, CA 94111 |
X |
/s/ John H. Lewis, John H. Lewis for himself and as Managing Member of Osmium Partners, LLC, for itself and as General Partner of Osmium Capital, LP, Osmium Capital II, LP, and Osmium Spartan, LP | 06/30/2009 | |
**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 general partner of Osmium Capital, LP, Osmium Capital II, LP and Osmium Spartan, LP is Osmium Partners, LLC. John H. Lewis is the controlling member of Osmium Partners, LLC. Each of Mr. Lewis and Osmium Partners, LLC may be deemed to have voting and dispositive power with respect to the shares held by Osmium Capital, LP, Osmium Capital II, LP and Osmium Spartan, LP, and each disclaims beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Lewis or Osmium Partners, LLC is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. |
(2) | Osmium Partners, LLC manages separately managed accounts for various investors and has discretionary investment authority over the trading of securities in such accounts. John H. Lewis is the controlling member of Osmium Partners, LLC. Each of Mr. Lewis and Osmium Partners, LLC may be deemed to have voting and dispositive power with respect to the shares held in such accounts, and each disclaims beneficial ownership of such shares, except to the extent of his or its pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Lewis or Osmium Partners, LLC is the beneficial owner of the shares for purposes of Section 16 of the Securities Exchange Act of 1934 or for any other purpose. |
(3) | These shares are held directly by John H. Lewis. |
(4) | This transaction represents a cross-trade between Osmium Capital, LP and Osmium Capital II, LP as part of a routine rebalancing by Osmium Partners, LLC of certain investment portfolios under its management. |