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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 | ||||||||
Non-Employee Stock Option (Right to buy) | $ 5 | (2) | 02/14/2013 | Class A Common Stock | 2,000 | 2,000 | D | ||||||||
Non-Employee Stock Option (Right to buy) | $ 5 | (3) | 03/17/2014 | Class A Common Stock | 5,000 | 5,000 | D | ||||||||
Non-Employee Stock Option (Right to buy) | $ 6.4 | 03/08/2006 | 06/09/2015 | Class A Common Stock | 10,000 | 10,000 | D | ||||||||
Non-Employee Stock Option (Right to buy) | $ 12.93 | 09/14/2006 | 03/31/2016 | Class A Common Stock | 10,000 | 10,000 | D | ||||||||
Non-Employee Stock Option (Right to buy) | $ 7.55 | (4) | 06/25/2017 | Class A Common Stock | 10,000 | 10,000 | D | ||||||||
Restricted Stock Units | (5) | (6) | (6) | Class A Common Stock | 11,667 | 11,667 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DAVIDOFF ROBERT C/O CMNY CAPITAL LP 137 EAST 57TH STREET NEW YORK, NY 10022 |
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/s/ Gary S. Loffredo as Attorney-in-Fact for Robert Davidoff | 08/22/2011 | |
**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) | Represents shares owned by CMNY Capital II, L.P. ("CMNY"). The Reporting Person is a Managing Director of Carl Marks & Co., Inc., the General Partner of CMNY. |
(2) | The option vested in three equal annual installments commencing February 14, 2004. |
(3) | Of such options, one-third vested on March 17, 2005 and the remaining vested on March 8, 2006. |
(4) | The option vested in three equal annual installments commencing June 25, 2008. |
(5) | Each restricted stock unit (an "RSU") represents a contingent right to receive one share of Class A Common Stock; however, the Issuer has the discretion to settle in Class A Common Stock or cash or a combination thereof. |
(6) | The RSUs vest in three equal annual installments commencing April 23, 2010. |
(7) | Includes 33,558 shares of Class A Common Stock issued on August 18, 2011 as part of the annual retainer for board service for the fiscal year ended March 31, 2011. Such shares vested on the date of issuance. |