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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL 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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(Print or Type Responses)
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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. | |||
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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 | |
| P.A.W. SMALL CAP PARTNERS, L.P. 4 GREENWICH OFFICE PARK 3RD FLOOR GREENWICH, CT 06831 |
X | |||
| P.A.W CAPITAL PARTNERS, L.P. 4 GREENWICH OFFICE PARK 3RD FLOOR GREENWICH, CT 06831 |
X | |||
| P.A.W. CAPITAL CORP 4 GREENWICH OFFICE PARK 3RD FLOOR GREENWICH, CT 06831 |
X | |||
| WRIGHT PETER A 4 GREENWICH OFFICE PARK 3RD FLOOR GREENWICH, CT 06831 |
X | |||
| P.A.W. Small Cap Partners, L.P., By: P.A.W. Capital Partners, L.P., its general partner, By: P.A.W. Capital Corp., its general partner, By: /s/ Peter A. Wright, President | 10/19/2012 | |
| ** Signature of Reporting Person |
Date
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| P.A.W. Capital Partners, L.P.(+), By: P.A.W. Capital Corp., its general partner, By: /s/ Peter A. Wright, President | 10/19/2012 | |
| ** Signature of Reporting Person |
Date
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| P.A.W. Capital Corp.(+), By: /s/ Peter A. Wright, President | 10/19/2012 | |
| ** Signature of Reporting Person |
Date
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| /s/ Peter A. Wright(+) | 10/19/2012 | |
| ** Signature of Reporting Person |
Date
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| * | 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 securities reported herein are held in the account of P.A.W. Small Cap Partners, L.P. ("Small Cap"), which is a reporting person. These securities may be deemed to be beneficially owned by: (i) P.A.W. Capital Partners, L.P. by virtue of its role as the general partner of Small Cap, (ii) P.A.W. Capital Corp. by virtue of its role as the general partner of the investment adviser of Small Cap and (iii) Peter A. Wright by virtue of his role as owner of P.A.W. Capital Corp. |
| (2) | The securities reported herein are held in the account of pooled investment vehicles. These securities may be deemed to be beneficially owned by (i) P.A.W. Capital Corp. by virtue of its role as the general partner of the investment adviser of such pooled investment vehicles and (ii) Peter A. Wright by virtue of his role as owner of P.A.W. Capital Corp. |
| Remarks: (+) Each of the Reporting Persons and the joint filers (individually, each a "Reporting Person" and collectively, the "Reporting Persons") disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein. The Reporting Persons affirmatively disclaim being a "group" for purposes of Section 16 of the Securities Exchange Act of 1934, as amended. |
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