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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 | |
GOODMAN BRUCE G SHEPHERD KAPLAN LLC 125 SUMMER STREET BOSTON, MA 02110 |
X |
/s/ Bruce Goodman | 12/30/2008 | |
**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) | Includes 500 restricted shares as to which the restrictions generally lapse one-third each year. |
(2) | The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. |
(3) | Held by the reporting person as co-trustee of trusts for the benefit of his children. Linda Shaw, the reporting person's spouse, and Deborah Shaw, the reporting person's sister-in-law and the sister of Linda Shaw, are also co-trustees of these trusts. |
(4) | Represents 13,000 shares distributed from the Estate of William Shaw (the "Estate") to Linda Shaw, the reporting person's spouse, 2,600 shares distributed by the Estate to a child of Deborah Shaw, the sister of the reporting person's spouse, and 10,400 shares distributed by the Estate to Deborah Shaw's spouse as custodian under the California Uniform Transfers to Minors Act. |
(5) | Held by the reporting person's spouse as co-executrix of the Estate; of such shares, 110,766 shares are ultimately to be distributed to the reporting person's spouse or to members of the spouse's family. |
(6) | Represents 13,000 shares acquired by Linda Shaw, the reporting person's spouse, as a result of a distribution from the Estate. |
(7) | Includes 1,492,997 shares held in three trusts for the benefit of Linda Shaw, the reporting person's spouse, of which Linda Shaw is the sole trustee. |
(8) | Held by the reporting person as trustee of an irrevocable trust for the benefit of his children. |
(9) | Held by the reporting person's spouse as a director of the William and Jacqueline Shaw Family Foundation, Inc. |