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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 | ||||||||
Stock Option (Common Stock) | $ 14.5 | 04/23/2004 | 04/23/2014 | Common Stock | 5,000 | 5,000 | D | ||||||||
Stock Option (Common Stock) | $ 20.69 | 05/25/2005 | 05/25/2015 | Common Stock | 5,000 | 10,000 | D | ||||||||
Stock Option (Common Stock) | $ 31.64 | 06/07/2006 | 06/07/2016 | Common Stock | 5,000 | 15,000 | D | ||||||||
Stock Option (Common Stock) | $ 13.81 | 06/06/2007 | 06/06/2017 | Common Stock | 5,000 | 20,000 | D | ||||||||
Stock Option (Common Stock) | $ 13.48 | 05/22/2008 | 05/22/2018 | Common Stock | 5,000 | 25,000 | D | ||||||||
Stock Option (Common Stock) | $ 8.86 | 06/25/2009 | 06/25/2019 | Common Stock | 5,000 | 30,000 | D | ||||||||
Stock Option (Common Stock) | $ 10.55 | 06/16/2010 | 06/16/2020 | Common Stock | 5,000 | 35,000 | D | ||||||||
Stock Option (Common Stock) | $ 12.33 | 06/15/2011 | 06/15/2021 | Common Stock | 5,000 | 40,000 | D | ||||||||
Stock Option (Common Stock) | $ 23.18 | 06/13/2012 | 06/13/2022 | Common Stock | 5,000 | 45,000 | D | ||||||||
Stock Option (Common Stock) | $ 37.19 | 06/12/2013 | A | 5,000 | 06/12/2013 | 06/12/2023 | Common Stock | 5,000 | $ 0 (8) | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MILLER LLOYD I III 222 LAKEVIEW AVENUE SUITE 160-365 WEST PALM BEACH, FL 33401 |
X |
/s/ David J. Hoyt Attorney-in-fact | 06/13/2013 | |
**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) | As a result of liquidating distributions to other members of the LLC, the Reporting Person is now reporting 14,744 securities held by Milfam NG LLC instead of 29,489 securities held by Milfam NG LLC as reported in prior filings. There has been no change in the Reporting Person's pecuniary interest in the securities referenced herein. |
(2) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any equity securities covered by this filing. |
(3) | Milfam NG LLC changed its legal entity name to LIMFAM LLC. |
(4) | On May 16, 2012, 20,040 securities held by Milgrat I (G7) were transferred to Trust C. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13. |
(5) | On May 16, 2012, 10,573 securities held by Milgrat I (X7) were transferred to Trust C and on March 1, 2013, 13,307 securities held by Milgrat I (X7) were transferred to Trust C. Such transactions only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13. |
(6) | On March 1, 2013, 17,312 securities held by Milgrat I (X7) were transferred to Lloyd I. Miller, III. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13. |
(7) | On March 1, 2013, 17,313 securities held by Milgrat I (X7) were transferred to Marli Miller Managed. Such transaction only effected a change in the form of beneficial ownership without changing the reporting person's pecuniary interest in such securities and was exempt from Section 16 of the Securities Exchange Act of 1934 pursuant to Rule 16a-13. |
(8) | No purchase price was paid for these options. These options were granted pursuant to the non-employee director automatic option grant program. |