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 | |
ELLIS ALEXANDER III C/O ROCKPORT CAPITAL PARTNERS, LP 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
RockPort Capital Partners, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
ROCKPORT CAPITAL I LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
RP Co-Investment Fund I, L.P. 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
RP Co-Investment Fund I GP, LLC 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
James Janet Burrows 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
JAMES WILLIAM E 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
MCDERMOTT CHARLES J 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
Prend David J 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
Wilson Stoddard Moran 160 FEDERAL STREET, 18TH FLOOR BOSTON, MA 02110 |
 X |  X |  |  |
ALEXANDER ELLIS III, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
ROCKPORT CAPITAL PARTNERS, LP, By: Rockport Capital I, LLC, General Partner, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
RP CO-INVESTMENT FUND I, L.P., By: RP Co-Investment Fund I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
ROCKPORT CAPITAL I, LLC, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
RP CO-INVESTMENT FUND I GP, LLC, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
JANET B. JAMES, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
WILLIAM E. JAMES, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
CHARLES J. MCDERMOTT, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
DAVID J. PREND, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**Signature of Reporting Person | Date | |
STODDARD M. WILSON, By: /s/ Tom Scott, Attorney-in-Fact | 10/19/2010 | |
**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). |