1
|
NAME OF REPORTING PERSON
|
|
|
||
Norman H. Pessin
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
PF
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
366,641
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
366,641
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
366,641
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
1) 4.0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON*
|
|
|
||
IN
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
Sandra F. Pessin
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
PF
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
94,025
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
94,025
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
94,025
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
1.0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON*
|
|
|
||
IN
|
|
|
|||
|
|
Item 1. |
Security and Issuer
|
Item 2. |
Identity and Background
|
Name and Address:
|
1)
|
Norman H. Pessin
|
|
366 Madison Avenue, 14th Floor
|
|||
New York, NY 10017
|
|||
2)
|
Sandra F. Pessin
|
||
366 Madison Avenue, 14th Floor
|
|||
New York, NY 10017
|
|||
Principal Occupation:
|
1)
|
Investor | |
2)
|
Housewife
|
||
Criminal Convictions:
|
1)
|
None
|
|
2)
|
None
|
||
Civil Proceedings:
|
1)
|
None
|
|
2)
|
None
|
||
Citizenship:
|
1)
|
United States
|
|
2)
|
United States
|
Item 3.
|
Source and Amount of Funds or Other Consideration
|
Item 4. |
Purpose of Transaction
|
Item 5. |
Interest in Securities of the Issuer
|
Item 6.
|
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
|
Item 7. |
Material to Be Filed as Exhibits
|
/s/ Norman H. Pessin | ||
Norman H. Pessin
|
||
/s/ Sandra F. Pessin | ||
Sandra F. Pessin
|
Shares of Common
Stock Sold
|
Price Per
Share ($)
|
Date of
Sale
|
Norman H. Pessin
|
||
900
|
9.8
|
12/12/2016
|
20,000
|
9.8
|
12/13/2016
|
8,000
|
9.8
|
12/14/2016
|
58,200
|
10.74
|
1/31/2017
|
12,020
|
11.15
|
2/6/2017
|
16,610
|
11.10
|
2/9/2017
|