UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hale Partnership Capital Management, LLC 5960 FAIRVIEW ROAD SUITE 432 CHARLOTTE, NC 28210 |
 |  X |  |  |
Hale Steven A II 5960 FAIRVIEW ROAD SUITE 432 CHARLOTTE, NC 28210 |
 |  X |  |  |
TALANTA Investment Group, LLC 401 N. TRYON STREET 10TH FLOOR CHARLOTTE, NC 28202 |
 X |  X |  |  |
/s/ Steven A. Hale II, Manager, on behalf of HALE PARTNERSHIP CAPITAL MANAGEMENT, LLC | 02/19/2016 | |
**Signature of Reporting Person | Date | |
/s/ Steven A. Hale II | 02/19/2016 | |
**Signature of Reporting Person | Date | |
/s/ Justyn R. Putnam, Managing Member, on behalf of TALANTA INVESTMENT GROUP, LLC | 02/19/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Hale Partnership Capital Advisors, LLC ("Hale GP"), as general partner to each of Clark - Hale Fund, L.P., MGEN II - Hale Fund, L.P., and Hale Partnership Fund, L.P. (collectively, the "Hale Funds"), and Hale Partnership Capital Management, LLC ("Hale Advisor"), as the investment manager to the Hale Funds, may be deemed to be beneficial owners of the shares directly held by the Hale Funds. TALANTA Investment Group, LLC ("TALANTA GP"), as general partner to TALANTA Fund, L.P. (the "TALANTA Fund"), may be deemed to be the beneficial owner of the shares directly held by the TALANTA Fund. |
(2) | As a principal of Hale GP and Hale Advisor, Steven A. Hale may be deemed to be the beneficial owner of the shares held by the Hale Funds. As a principal of TALANTA GP, Justyn R. Putnam may be deemed to be the beneficial owner of the shares held by the TALANTA Fund. Each Reporting Person disclaims beneficial ownership of the shares referred to herein except to the extent of his or its pecuniary interest therein. |