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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrant | $ 5 | 07/31/2012 | 07/31/2017 | Common Stock | 0 | Footnote (3) | ||||||||
Warrant | $ 5 | 02/23/2013 | 02/28/2018 | Common Stock | 0 | Footnote (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mendelsohn Aaron 12744 SAN FERNANDO ROAD SUITE 400 SYLMAR, CA 91342 |
X |
/s/ Aaron Mendelsohn | 02/01/2017 | |
**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) | Mendelsohn Family Enterprises, LLC (MFE), a limited liability company that is 80% owned by Mr. Mendelsohn and 20% by Mr. Mendelsohn's two adult sons, transferred for no consideration 809,002 shares of the Company's common stock that it held of record, as a gift made in connection with estate planning, to Mendelsohn Investment Services LLC, a limited liability company wholly owned and managed by Mr. Mendelsohn's two adult sons. |
(2) | The closing price of Company's common stock on Nasdaq on the date of transfer. |
(3) | As previously reported on Form 3 filed with the Commission on November 19, 2014. |