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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 | |
GOODMAN BRUCE G SHEPHERD KAPLAN LLC 125 SUMMER STREET BOSTON, MA 02110 |
X |
/s/ Bruce Goodman | 11/11/2008 | |
**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) | Includes 500 restricted shares as to which the restrictions generally lapse one-third each year. |
(2) | The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of these securities. |
(3) | Held by the reporting person as co-trustee of trusts for the benefit of his children. Linda Shaw, the reporting person's spouse, and Deborah Shaw, the reporting person's sister-in-law and the sister of Linda Shaw, are also co-trustees of these trusts. |
(4) | Held by the reporting person's spouse as co-executrix of the Estate of William Shaw; of such shares, 123,766 shares are ultimately to be distributed to Linda Shaw or to members of her family. Linda Shaw and Deborah Shaw are the daughters of William Shaw. |
(5) | Represents shares acquired by Linda Shaw as a result of the liquidation of a trust for her benefit. |
(6) | Includes 1,492,997 shares held in three trusts for the benefit of Linda Shaw of which Linda Shaw is the sole trustee. |
(7) | Represents shares distributed to Linda Shaw as a result of the liquidation of a trust for her benefit. |
(8) | Prior to the liquidation referred to in footnote (7), these shares were held by Linda Shaw as co-trustee of a trust for her benefit. |
(9) | Represents shares distributed to Deborah Shaw as a result of the liquidation of a trust for her benefit. Due to a clerical error, beginning January 3, 2008 previous Form 4's omitted two (2) shares in reporting the number of shares held in this trust. The correct number of shares was 492,999 whereas the reported amount was 492,997. |
(10) | Held by the reporting person as trustee of an irrevocable trust for the benefit of his children. |
(11) | Held by Linda Shaw as a director of the William and Jacqueline Shaw Family Foundation, Inc. |