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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 | |
Bargach Saad 274 RIVERSIDE AVENUE WESTPORT, CT 06680 |
X | X |
/s/ Saad Bargach | 02/01/2010 | |
**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) | These shares were issued as a restricted stock award to the Reporting Person and therefore no consideration was paid by the Reporting Person. The restricted stock award vests on January 29, 2011. Pursuant to the partnership agreement of Lime Rock Management LP ("Lime Rock Management"), Mr. Bargach is obligated to transfer any proceeds received upon sale of these shares to Lime Rock Management and thus the pecuniary interest in these shares is held by Lime Rock Management. Mr. Bargach is a member of Lime Rock Management GP LLC which controls the investment decisions of Lime Rock Management. Mr. Bargach disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Bargach is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |
(2) | These securities are directly owned by Lime Rock Partners V, L.P. ("Lime Rock"). Mr. Bargach serves as a member of the Investment Committee of Lime Rock Partners GP V, L.P. which controls the investment decisions of Lime Rock. Mr. Bargach disclaims beneficial ownership of the Common Stock held by Lime Rock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Mr. Bargach is the beneficial owner of the securities for purposes of Section 16 or for any other purpose. |