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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 | |
Taylor Edmund Frederick 96 CLIFFIELD ROAD BEDFORD, NY 10506 |
X | |||
CREDIT SUISSE AG/ SEE FOOTNOTE (1) IN EXHIBIT 99.1 11 MADISON AVENUE NEW YORK, NY 10010 |
X |
/s/ Edmund F. Taylor | 02/21/2012 | |
**Signature of Reporting Person | Date | |
/s/ Louise Guarneri, Managing Director on behalf of Credit Suisse AG | 02/21/2012 | |
**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) | Represents shares of restricted common stock granted by the Issuer pursuant to the terms of its 2010 Equity Incentive Plan to Edmund F. Taylor for serving as a director of the Issuer. Mr. Taylor is a managing director of Credit Suisse Securities (USA) LLC, and pursuant to an arrangement, any director compensation received by him while so employed is paid over to or held for the benefit of Credit Suisse Securities (USA) LLC, or an affiliate thereof. Upon vesting, the shares are to be transferred to Credit Suisse Securities (USA) LLC, or an affiliate thereof, for no additional consideration. |
(2) | Shares vest on December 20, 2011. |
(3) | See note (1) on Exhibit 99.1. |
(4) | See note (2) on Exhibit 99.1. |
(5) | See note (3) on Exhibit 99.1. |
Remarks: Exhibit 99.1 and Joint Filing Information incorporated herein by reference. This amendment restates the original Form 4 and is made principally to add an additional reporting person and to indicate that Mr. Taylor directly holds shares for the benefit of such additional reporting person. |