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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 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 | |
WENNINGER RICHARD E 14000 GYPSUM CREEK ROAD GYPSUM, CO 81637 |
X |
/s/ James M. Bedore, Attorney-in-fact | 09/10/2012 | |
**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 are being sold by the reporting person pursuant to a 10b5-1 trading plan adopted by the reporting person. |
(2) | The price reported above is the weighted average transaction price. The range of prices for such transactions is $6.66 to $6.75. Upon request by the Commission staff, the reporting person will provide full information regarding the number of shares sold at each separate price. |
(3) | These shares are held in a trust as to which Mr. Wenninger is a trustee and beneficiary. |
(4) | These shares are held in a charitable remainder trust as to which Mr. Wenninger is a trustee and Mr. Wenninger and his spouse are beneficiaries. Mr. Wenninger continues to report beneficial ownership of all of the shares held by the trust but disclaims beneficial ownership except to the extent of his and his spouse's pecuniary interest therein. |