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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 | |
NIERENBERG INVESTMENT MANAGEMENT CO 19605 NE 8TH STREET CAMAS, WA 98607 |
X | |||
DENVER CARA 19605 NE 8TH STREET CAMAS, WA 98607 |
X | |||
D3 Family Bulldog Fund LP 19605 NE 8TH STREET CAMAS, WA 98607 |
X | |||
HOOPER HENRY E 19605 NE 8TH STREET CAMAS, WA 98607 |
X | |||
Nierenberg Investment Management Offshore Inc 19605 NE 8TH STREET CAMAS, WA 98607 |
X | |||
NIERENBERG DAVID 19605 SE 8TH STREET CAMAS, WA 98607 |
X |
David Nierenberg, President, Nierenberg Investment Management Company, Inc. (NIMCO) | 07/05/2006 | |
**Signature of Reporting Person | Date | |
David Nierenberg | 07/05/2006 | |
**Signature of Reporting Person | Date | |
Henry Hooper | 07/05/2006 | |
**Signature of Reporting Person | Date | |
Cara Denver | 07/05/2006 | |
**Signature of Reporting Person | Date | |
David Nierenberg, President, NIMCO, General Partner of The D3 Family Bulldog Fund, L.P. | 07/05/2006 | |
**Signature of Reporting Person | Date | |
David Nierenberg, President, Nierenberg Investment Management Offshore Inc. (NIMO) | 07/05/2006 | |
**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) | Pro rata distribution of issuer shares owned by limited partnership to its general and limited partners as part of consolidation of funds within fund family. These shares have previously been included in statements filed by David Nierenberg, President of Nierenberg Investment Management Company, Inc., the general partner of the limited partnership and by Nierenberg Investment Management Company, Inc. |
(2) | Pro rata receipt of issuer shares by limited partnership from its general and limited partners as part of consolidation of funds within fund family. These shares have previously been included in statements filed by David Nierenberg, President of Nierenberg Investment Management Company, Inc., the general partner of the limited partnership and by Nierenberg Investment Management Company, Inc. |
(3) | Four of the reporting persons, D3 Childrens Fund, LP (CIK 0001226845), D3 Family Fund, LP (CIK 0001282685), DIII Offshore Fund, LP (CIK 0001282684) and D3 Family Retirement Fund, LP (CIK 0001226843), would be reported in this filing if we had the appropriate Edgar codes from the SEC. We made a formal request for the codes from the SEC. Since we do not have all of the appropriate codes at the time of this filing, we will file an amended Form 4 when we receive the correct Edgar codes. |
Remarks: As officers of Nierenberg Investment Management Company, Inc., the sole general partner of each of the limited partnerships, David Nierenberg, Henry Hooper and Cara Denver may be deemed to share voting and investment power over the issuer shares owned by the limited partnerships. Each officer is allocated by agreement a portion of the general partner's carried interest in each of the limited partnerships, and each officer beneficially owns limited partnerships interest in The D3 Family Fund, L.P. Each of the reporting persons disclaims beneficial ownership except to the extent of the reporting person's pecuniary interest. |