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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 | |
Del Mar Asset Management, LP 711 FIFTH AVENUE FIFTH FLOOR NEW YORK, NY 10022 |
X | |||
DEL MAR MASTER FUND, LTD. 711 FIFTH AVENUE FIFTH FLOOR NEW YORK, NY 10022 |
X | |||
DEL MAR MANAGEMENT, LLC 711 FIFTH AVENUE FIFTH FLOOR NEW YORK, NY 10022 |
X | |||
FREELOVE DAVID 711 FIFTH AVENUE FIFTH FLOOR NEW YORK, NY 10022 |
X |
/s/ Del Mar Asset Management, LP; By its general partner Del Mar Management, LLC; By its managing member David Freelove | 08/24/2012 | |
**Signature of Reporting Person | Date | |
/s/ Del Mar Master Fund, Ltd.; By its investment manager Del Mar Asset Management, LP; By its general partner Del Mar Management, LLC; By its managing member David Freelove | 08/24/2012 | |
**Signature of Reporting Person | Date | |
/s/ Del Mar Management LLC; By its managing member David Freelove | 08/24/2012 | |
**Signature of Reporting Person | Date | |
/s/ David Freelove | 08/24/2012 | |
**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) | These trades were omitted from the Reporting Persons' Form 4 filed on 07/13/2012. |
(2) | The shares of Common Stock to which this relates are held directly by (i) Del Mar Master Fund, Ltd., a Cayman Islands exempted company (the "Master Fund") under the management of Del Mar Asset Management, LP, a Delaware limited liability company ("DMAM"), (ii) Del Mar Index Opportunities Master Fund, Ltd., a Cayman Islands exempted company (the "Index Fund") under the management of DMAM, (iii) Del Mar Riverside Master Fund, Ltd., a Cayman Islands exempted company (the "Riverside Fund") under the management of DMAM, (iv) Compass SAV LLC, a Delaware limited liability company (the "Compass Onshore Fund") under the management of DMAM, (v) Compass Offshore SAV PCC Limited, a Guernsey corporation (the "Compass Offshore Fund") under the management of DMAM and (vi) a certain trading account under the management of Mr. David Freelove (the "Trading Account"). |
(3) | The shares of Common Stock to which this relates are held directly by (i) the Master Fund and (ii) the Trading Account. |
(4) | The shares of Common Stock to which this relates are held directly by (i) the Master Fund, (ii) the Index Fund, (iii) the Compass Onshore Fund, (iv) the Compass Offshore Fund and (v) the Trading Account. |
(5) | DMAM serves as investment manager of each of the Master Fund, the Index Fund, the Riverside Fund, the Compass Onshore Fund and the Compass Offshore Fund (collectively, the "Del Mar Funds") and as such has discretion over the portfolio securities held by the Del Mar Funds. Del Mar Management, LLC, a Delaware limited liability company (the "GP"), is the general partner of DMAM and directs DMAM's operations. Mr. David Freelove is the managing member of the GP. Mr. David Freelove also serves as the managing member of the Trading Account and as such has discretion over the portfolio securities held by the Trading Account. DMAM, the GP and Mr. David Freelove disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein. |
Remarks: In addition to the shares of Common Stock reported herein, as of the date hereof, certain DMAM employees responsible for managing the holdings reported herein separately own an aggregate of 51,100 shares of Common Stock. |