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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT 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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(Print or Type Responses)
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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) | ||
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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 | |
| RBC Holdings (Channel Islands) Ltd 19-21 BROAD STREET ST. HELIER, Y9 JE1 3PB |
X | |||
| RBC cees Trustee LTD 19-21 BROAD STREET ST. HELIER, Y9 JE1 3PB |
X | |||
| /s/ Chris Blampied, as Director, RBC Holdings (Channel Islands) Limited | 05/30/2012 | |
| ** Signature of Reporting Person |
Date
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| /s/ George Dick, as Authorized Signatory, RBC Holdings (Channel Islands) Limited | 05/30/2012 | |
| ** Signature of Reporting Person |
Date
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| /s/ Mike Evans, as Director, RBC cees Trustee Limited | 05/29/2012 | |
| ** Signature of Reporting Person |
Date
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| /s/ Keith Mallet, as Director, RBC cees Trustee Limited | 05/29/2012 | |
| ** Signature of Reporting Person |
Date
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| * | 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) | The shares constitute accrued interest paid by the issuer on two 6% Senior Unsecured Convertible Debentures Due 2018 with a conversion price of $2.20 in the principal amount of (a) $10,100,000 and (b) $6,900,000. |
| (2) | The shares reported in this table are held by RBC cees Trustee Limited, which is an indirectly wholly owned subsidiary of RBC Holdings (Channel Islands) Limited. |