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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 | |
Bannon Kevin j 62 CROTON AVENUE MOUNT KISCO, NY 10549 |
X |
Kevin J. Bannon by Miyun Sung as Attorney-in-Fact | 01/05/2017 | |
**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) | On January 4, 2017, the Issuer entered into an agreement with Kevin J. Bannon (the "Reporting Person") whereby the Reporting Person was granted a restricted stock award of 1,050 shares of Class A Common Stock pursuant to the Issuer's Amended and Restated Restricted Stock Award Plan (the "Restricted Stock Award Plan"). |
(2) | This figure includes 5,050 restricted shares of Class A Common Stock issued pursuant to the Restricted Stock Award Plan. On January 3, 2017, restrictions applicable to a previously reported grant of 950 shares of Class A Common Stock lapsed, resulting in the Reporting Person becoming fully vested in such shares. |
(3) | The Reporting Person is the direct beneficial owner of 30,500 shares of Class A Common Stock, which includes the 5,050 restricted shares of Class A Common Stock referenced in Footnote (2) and 1,700 shares held in the name of the Kevin J. Bannon IRA for the benefit of Kevin J. Bannon. |
(4) | The Reporting Person is the indirect beneficial owner of 1,500 shares of Class A Common Stock, of which 500 shares are owned by the Katherine E. Bannon 2001 Revocable Trust dated 10/22/01, for the benefit of Katherine E. Bannon, Mr. Bannon's daughter, and 1,000 shares are owned by the Trust established under the will of Nathan B. Epstein for the benefit of Susan E. Bannon, Mr. Bannon's wife, et ano. Mr. Bannon is co-trustee of each of the above-mentioned trusts. |
Remarks: Exhibit List Exhibit 24.1 - Power of Attorney |