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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 | ||||||||
Restricted Common Stock | $ 0 | 01/26/2007(2) | A | 10,000 | 01/01/2010(1) | 01/01/2010(1) | Common Stock | 10,000 | $ 0 | 344,693 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sondey Brian 100 MANHATTANVILLE ROAD PURCHASE, NY 10577 |
X | CEO, President |
/s/ Marc Pearlin, attorney-in-fact for Brian Sondey | 01/31/2007 | |
**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 restricted common stock vests 100% on January 1, 2010 unless earlier forfeited. |
(2) | This amendment is being filed to correct an error in the Form 4 filed on 1/30/2007. Box 3 Date of Earliest Transaction mistakenly listed the date as 1/30/2007 instead of 1/26/2007. Box 3 in Table II was reported incorrectly as 1/26/2006 instead of 1/26/2007. |
(3) | Box 9 Table II is amended to 344,693 shares, which consists of 10,000 shares of restricted common stock and options to purchase 334,693 shares of common stock. |