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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 | |
ORTHWEIN PETER BUSCH 9 BENEDICT PLACE GREENWICH, CT 06830 |
X | Exec. Chairman of the Board |
/s/ Peter B. Orthwein | 12/19/2013 | |
**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) | This transaction involved a transfer of Shares to the Reporting Person from the account of a trust for the Reporting Person's father upon the death of such person. |
(2) | This transaction involved a transfer of Shares to the Reporting Person from the account of the Orthwein Investment Group D, L.P. (the "Investment Group") in which the Reporting Person previously held a 0.51% limited partnership interest and a 51% general partnership interest. The transfer of the Shares occurred upon the dissolution of the Investment Group upon the death of the Reporting Person's father. |
(3) | These Shares are held for the account of the Reporting Person's wife. |
(4) | These Shares are held for the account of the Reporting Person's wife as custodian to the Reporting Person's youngest child. |
(5) | These Shares are held for the account of a charitable annuity trust (the "Charitable Trust") of which the Reporting Person and his wife are trustees and of which the Reporting Person's three youngest children are beneficiaries. The Reporting Person continues to report beneficial ownership of the Shares held for the account of the Charitable Trust but disclaims beneficial ownership except to the extent of the pecuniary interest of the Reporting Person, his wife and his three youngest children in the Charitable Trust. |
(6) | These Shares are held for the account of the PBO-BMO Descendants Trust (the "PBO-BMO Trust") of which the Reporting Person is the sole trustee and of which the Reporting Person's three youngest children are beneficiaries. The Reporting Person continues to report beneficial ownership of the Shares held for the account of the PBO-BMO Trust but disclaims beneficial ownership except to the extent of the pecuniary interest of the Reporting Person, his wife and his three youngest children in the Trust. |
(7) | These Shares are held for the account of Adolphus Busch Orthwein Trust (the "AB Trust") for the benefit of the Reporting Person's children. The Reporting Person is one of the trustees of the AB Trust. |
(8) | These Shares are held for the account of a trust for the Reporting Person's half-brother. The Reporting Person is one of the three trustees of this trust. |
(9) | These Shares are held for the account of The Indenture of Trust of Adolphus Busch Orthwein (the "Indenture of Trust") of which the Reporting Person is a co-trustee and of which the heirs of the Reporting Person's father's estate are beneficiaries. The Reporting Person disclaims beneficial ownership of the Shares held for the account of the Indenture of Trust except to the extent of his pecuniary interest in such Shares. |