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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 | |
Verition Fund Management LLC ONE AMERICAN LANE GREENWICH, CT 06831 |
X | |||
Maounis Nicholas Matthew 20 ANDREWS FARM RD GREENWICH, CT 06830 |
X |
/s/ Ted Hagan, CFO, Verition Fund Management LLC | 02/11/2014 | |
**Signature of Reporting Person | Date | |
/s/ Nicholas Maounis | 02/11/2014 | |
**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) | This Form is filed on behalf of Verition Fund Management LLC ("Verition") and Nicholas Maounis and relates to securities held for the account of Verition Multi-Strategy Master Fund Ltd. (the "Fund"). Verition serves as the investment manager to the Fund, and in such capacity, may be deemed to have voting and dispositive power over the securities. Nicholas Maounis is the managing member of Verition. The Reporting Persons have filed this statement out of an abundance of caution, as each of the Reporting Persons deems itself not to be the beneficial owner of the securities covered by this statement, pursuant to Rule 16a-1(a)(1)(a). Accordingly, each Reporting Person disclaims beneficial ownership in the securities and this filing shall not be deemed an admission that such Reporting Person is, for purposes of section 16 of the Securities Exchange Act of 1934 or otherwise, the beneficial owner of any securities covered by the statement. |