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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 | ||||||||
Subscription Rights (right to buy) | $ 3.5 | 12/30/2009 | S | 100 | 12/14/2009 | 01/14/2010 | Common Stock | 100 | $ 0.42 | 8,647,133 | I | See Footnotes (1) (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STADIUM CAPITAL MANAGEMENT LLC 19785 VILLAGE OFFICE COURT STE 101 BEND, OR 97702 |
X | |||
KENT BRADLEY R C/O STADIUM CAPITAL MANAGEMENT, LLC 19785 VILLAGE OFFICE COURT, SUITE 101 BEND, OR 97702 |
X | |||
SEAVER ALEXANDER M C/O STADIUM CAPITAL MANAGEMENT, LLC 19785 VILLAGE OFFICE COURT, SUITE 101 BEND, OR 97702 |
X |
Stadium Capital Management, LLC by Bradley R. Kent, Manager | 01/04/2010 | |
**Signature of Reporting Person | Date | |
Bradley R. Kent | 01/04/2010 | |
**Signature of Reporting Person | Date | |
Alexander M. Seaver | 01/04/2010 | |
**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) | The securities reported as beneficially owned by Stadium Capital Management, LLC ("SCM"), Bradley R. Kent ("Kent") and Alexander M. Seaver ("Seaver") on this Form 4 include securities also beneficially owned by investment advisory clients of SCM, including investment limited partnerships (the "Funds") of which SCM is the general partner and investment adviser. Kent and Seaver are the Managers of SCM. |
(2) | SCM, Kent and Seaver disclaim membership in a group, within the meaning of Rule 13d-5(b) and Rule 16a-1(a)(1) under the Securities Exchange Act of 1934, as amended, with any other person. These securities are held directly by such investment advisory clients, including the Funds, for the benefit of such clients and the investors in those Funds. SCM, Kent and Seaver disclaim beneficial ownership of such securities, except to the extent of their pecuniary interest therein. |