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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 | |
Teresko Doug 1271 AVENUE OF THE AMERICAS 45TH FLOOR NEW YORK, NY 10020 |
Vice President/Asst Secy |
/s/ Doug Teresko by Mark E. Mathiasen pursuant to Power of Atty | 03/14/2014 | |
**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) | My original filing inadvertently omitted an explanatory statement for this transaction and used the incorrect transaction code. On March 10, 2014, I sold 584 shares of LCM held in my Credit Suisse account and simultaneously purchased 584 shares of LCM for my IRA account. These transactions did not result in any change in my continuous beneficial ownership of 584 shares of LCM. The effect of these transactions was to transfer legal ownership (but not beneficial ownership) of 584 shares of LCM from my Credit Suisse Account to my IRA account. The correct transaction code for my purchase of 584 shares for my IRA account was "J" for "other acquisition or disposition." |
(2) | My original filing inadvertently omitted an explanatory statement for this transaction and used the incorrect transaction code. On March 10, 2014, I sold 584 shares of LCM held in my Credit Suisse account and simultaneously purchased 584 shares of LCM for my IRA account. These transactions did not result in any change in my continuous beneficial ownership of 584 shares of LCM. The effect of these transactions was to transfer legal ownership (but not beneficial ownership) of 584 shares of LCM from my Credit Suisse Account to my IRA account. The correct transaction code for my sale of 584 shares of LCM held in my Credit Suisse account was "J" for "other acquisition or disposition." |
(3) | The total after purchase of 584 shares was inadvertently deducted and reported as 30,786 when it should have been added to bring the total shares to 31,954. |