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 | |
PRISM PARTNERS, L.P. ONE INTERNATIONAL PLACE SUITE 2401 BOSTON, MA 02110 |
 |  X |  |  |
Delta Advisors, LLC ONE INTERNATIONAL PLACE SUITE 2401 BOSTON, MA 02110 |
 |  X |  |  |
Charles Jobson | 11/29/2016 | |
**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 shares of common stock reported herein are directly held by Prism Partners, L.P. Delta Advisors, LLC is the general partner of Prism Partners, L.P. and disclaims Section 16 beneficial ownership except to the extent of its pecuniary interest in the shares of common stock. |
(2) | The shares reported herein are included within the shares previously reported by Delta Partners, LP, Delta Partners GP, LLC and Charles Jobson. Delta Partners, LP is the investment manager to Prism Partners, L.P. Delta Partners GP, LLC is the general partner of Delta Partners, LP. Charles Jobson is the owner of Delta Partners, LP and managing member of Delta Partners GP, LLC, and can be deemed to have investment discretion. Each of Delta Partners, LP, Delta Partners GP, LLC and Charles Jobson disclaim Section 16 beneficial ownership of the shares reported herein except to the extent of their pecuniary interest, if any. |