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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 | |
BERGER HOWARD G 1510 COTNER AVE. LOS ANGELES, CA 90025 |
X | President |
/s/ Howard G. Berger | 01/19/2016 | |
**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) | The shares were held by HFB Enterprises, LLC. The reporting person was the co-manager of HFB Enterprises, LLC. The shares have been distributed to HFB Heirs' Family Trust, an irrevocable trust for Dr. Berger's children and the sole member of HFB Enterprises, LLC. The reporting person no longer has beneficial ownership over the shares. |
(2) | HFB Enterprises, LLC reported a gift transfer of 7,000 shares in March 2013, which was reflected on the Form 4 filed by the reporting person on February 17, 2015. It has since been discovered that the proposed gift transfer was never consummated. The number of shares reported reflects the number of shares transferred by HFB Enterprises, LLC to HFB Heirs' Family Trust, its sole member. |
(3) | The purpose of this amendment is to identify the sole member of HFB Enterprises, LLC in footnotes 1 and 2 above, and to remove the second line item on the original report, which erroneously indicated that the reporting person held 270,026 shares of Common Stock indirectly through a family trust. As of June 29, 2015, the reporting person does not beneficially own any shares in the issuer. |