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 | |
CROSS RIVER CAPITAL MANAGEMENT LLC 456 MAIN STREET, 2ND FLOOR RIDGEFIELD, CT 06877 |
 |  X |  |  |
Cross River Partners LP 456 MAIN STREET, 2ND FLOOR RIDGEFIELD, CT 06877 |
 |  X |  |  |
MURPHY RICHARD C/O CROSS RIVER CAPITAL MANAGEMENT LLC 456 MAIN STREET, 2ND FLOOR RIDGEFIELD, CT 06877 |
 |  X |  |  |
Cross River Capital Management LLC, By: /s/ Richard Murphy, Name: Richard Murphy, Title: Managing Member | 02/15/2013 | |
**Signature of Reporting Person | Date | |
Cross River Partners LP, By: /s/ Richard Murphy, Name: Richard Murphy, Title: Managing Member of Cross River Capital Management LLC, its General Partner | 02/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ Richard Murphy, Name: Richard Murphy | 02/15/2013 | |
**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) | The reported securities are directly owned by Cross River Partners LP. |
(2) | The reported securities are directly owned by Cross River Partners LP a limited partnership managed by Cross River Capital Management LLC, and may be deemed indirectly beneficially owned by Cross River Capital Management LLC as the investment manager of Cross River Partners LP. The reported securities may also be deemed indirectly beneficially owned by Richard Murphy as Managing Member of Cross River Capital Management LLC. |
 Remarks: The Reporting Persons disclaim beneficial ownership of the reported securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that such Reporting Persons are the beneficial owners of the securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |