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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 | |
SHOUP RONALD E 5616 ROSEBERRY RIDGE LAFAYETTE, IN 47905 |
Chief Scientific Officer |
/s/ Lina Reeves-Kerner, attorney-in-fact for Ronald E. Shoup | 11/06/2007 | |
**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 first transaction reported on this Form 4 is the donation of 602 shares from Ronald E. and Paula J. Shoup to a charitable organization. Mr. and Mrs. Shoup jointly beneficially owned 87,915 shares following this donation, and Mr. Shoup owned 451 shares individually. |
(2) | Mr. Shoup no longer has a reportable beneficial interest in a total of 200 shares indirectly through Ms. Paula J. Shoup, who served as custodian for the benefit of their two children, Sarah Jane Shoup (for 100 shares) and for Jason Andrew Shoup (also for 100 shares), which shares had previously been included for purposes of reporting Mr. Shoup's total beneficial ownership, because Sarah Jane Shoup and Jason Andrew Shoup each have reached the age of majority. |
(3) | After giving effect to the transactions reflected on this Form 4, Mr. and Mrs. Shoup jointly owned 87,715 shares. Mr. Shoup also owns 451 shares individually. |