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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 | |
GAREN ERIC R 1805 LIBRARY STREET SUITE 300 RESTON, VA 20190 |
X | X | Chairman of the Board |
/s/ Eric R. Garen | 01/12/2011 | |
**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) | INCLUDES: (i) 381,970 shares held by the Reporting Person; (ii) 456,970 shares held by the Reporting Person's spouse; (iii) 547,646 shares held by each of the Eric R. Garen 2010 Annuity Trust #1 and the Nancy Garen 2010 Annuity Trust #1; (iv) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership. EXCLUDES shares held by certain trusts established by the Reporting Person and and his spouse f/b/o their children: 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, 496,033 shares held by the Nicole Suzanne Garen Family Trust, and 496,033 shares held by the Steven Robert Garen Family Trust (collectively, "Family Trusts"), each an irrevocable CA trust. The Reporting person disclaims beneficial ownership of all shares owned by the Dynasty Trust and the Family Trusts. |
(2) | See Footnote 1 for explanation of ownership. |