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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 | ||||||||
2002-A SENIOR NOTE | $ 20 | 01/01/2006 | J(1) | 20,000 | 09/03/2002 | 12/31/2005 | COMMON STOCK | 1,000 | $ 0 | 0 | D | ||||
STOCK OPTION (RIGHT TO BUY) | $ 7.5 | 04/21/2006 | 04/21/2011 | COMMON STOCK | 12,000 | 12,000 | D | ||||||||
2005-G SENIOR NOTE | $ 10 | 11/30/2005 | 12/31/2008 | COMMON STOCK | 3,333 | 3,333 | D | ||||||||
2006-A SENIOR NOTE | $ 10 | 01/06/2006 | 12/31/2010 | COMMON STOCK | 2,000 | 2,000 | D | ||||||||
WARRANTS (OPTION TO PURCHASE) | $ 20 | 01/09/2006 | 12/31/2008 | COMMON STOCK | 3,333 | 3,333 | D | ||||||||
WARRANTS (OPTION TO PURCHASE) | $ 20 | 01/09/2006 | 12/31/2008 | COMMON STOCK | 2,000 | 2,000 | D | ||||||||
2004-B SENIOR NOTE | $ 10 | 01/28/2005 | 06/30/2007 | COMMON STOCK | 10,340 | 10,340 | D | ||||||||
2003-B SENIOR NOTE | $ 20 | 12/31/2003 | 12/31/2009 | COMMON STOCK | 1,500 | 1,500 | D | ||||||||
2001-D SENIOR NOTE | $ 20 | 03/26/2003 | 12/31/2007 | COMMON STOCK | 166 | 166 | D | ||||||||
SERIES A CONVERTIBLE PREFERRED STOCK | (2) | 02/28/1998 | (2) | COMMON STOCK | (2) | 4,000 | I | SPOUSE |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
VAN ALEN WILLIAM L JR 975 DORCHESTER ROAD NEWTOWN SQUARE, PA 19703 |
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/S/ WILLIAM L. VAN ALEN, JR | 09/21/2006 | |
**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 $20,000 of 2002- A Convertible Senior Notes that matured on 12/31/05, were not converted into Common Stock, and the principal amount was repaid by the Issuer. |
(2) | Each share of Series A Preferred Convertible Stock is convertible into a hundredth of a share, and does not have an exercise date. |