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 | |
Klein James B 650 FIFTH AVENUE NEW YORK, NY 10019 |
 X |  |  |  |
James B. Klein | 08/10/2012 | |
**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) | Shares reported as owned by Mr. Klein include 33,488 shares held jointly with his spouse, Mrs. Bonnie Klein. |
(2) | Shares reported as owned by Mr. Klein are owned by his spouse, Mrs. Bonnie Klein. Mr. Klein disclaims beneficial ownership of these shares. |
(3) | Shares reported as owned by Mr. Klein, as trustee, include: 141,662 shares held in the Jonas P. Klein Marital Trust; 48,829 shares held in the Phyllis Klein 2009 3-Year GRAT; 41,934 shares held in the Phyllis Klein 2009 2-Year GRAT; and 32,477 shares held in the Estate of Phyllis S. Klein. Mr. Klein disclaims beneficial ownership of all these shares. |