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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 | |
RULE ARTHUR RICHARDS 7770 EL CAMINO REAL CARLSBAD, CA 92009 |
X | |||
RULE FAMILY TRUST UDT 12 17 98 7770 EL CAMINO REAL CARLSBAD, CA 92009 |
X |
/s/ Gretchen Carter, attorney-in-fact for Arthur Richards Rule | 10/22/2009 | |
**Signature of Reporting Person | Date | |
/s/ Gretchen Carter, attorney-in-fact, Arthur Richards Rule, Trustee for Rule Family Trust udt 12/17/98 | 10/22/2009 | |
**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 shares are beneficially owned by both reporting owners, the Rule Family Trust udt 12/17/98 and Arthur Richards Rule. |
(2) | On October 5, 2009, the reporting persons filed a Form 4 that incorrectly indicated that the reporting persons were no longer subject to Section 16 requirements by virtue of the sale reported in that Form 4. Since the record date for the Issuer's annual meeting of shareholders was September 10, 2009 and the reporting persons still held ten percent of the Issuer's outstanding shares on that date, the reporting persons remained subject to Section 16 requirements through October 22, 2009, being the date of the Issuer's annual meeting of shareholders. Accordingly, this Form 4 is being filed to report sales of the Issuer's stock that occurred after the sale reported on October 5, 2009 and through October 22, 2009. |
(3) | The general partner of Exploration Capital Partners 1998-B L.P. is Resource Capital Investment Corporation, which is owned 100% by the Rule Family Trust udt 12/17/98. Arthur Richards Rule is co-Trustee of the Rule Family Trust udt 12/17/98. |
(4) | The shares are beneficially owned by Arthur Richards Rule. |
(5) | Global Resource Investments Ltd. is owned 100% by Rule Investments, Inc., which is owned 100% by the Rule Family Trust udt 12/17/98. Arthur Richards Rule is co-Trustee of the Rule Family Trust udt 12/17/98. |
(6) | Resource Capital Investment Corp. is owned 100% by the Rule Family Trust udt 12/17/98. Arthur Richards Rule is co-Trustee of the Rule Family Trust udt 12/17/98. |