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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 | ||||||||
Stock Option to purchase Common Stock | $ 18.87 | 12/18/2013 | 12/18/2022 | Common Stock | 10,000 | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Griffin William F Jr C/O GEMMA POWER SYSTEMS, LLC, 2461 MAIN STREET GLASTONBURY, CT 06033 |
X | VC/CEO of Gemma Power Systems |
/s/ William F. Griffin, Jr. | 06/20/2016 | |
**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) | As of the filing date, the Reporting Person indirectly owns a total of 456,150 shares of the Issuer's common stock through William F. Griffin, Jr. Revocable Trust DTD 12/09/04 (the "Revocable Trust"). This was as a result of a share transfer (the "Transfer") of 108,576 shares to the Revocable Trust and 50,000 shares to S Griffin & Kulpik TTEE, Griffin Family Trust, U/A DTD 02/10/2006 on June 16, 2016 by William F. Griffin, Jr. GRAT DTD 03/29/14 (the "GRAT"), of which the Reporting Person is the trustee. Pursuant to the Transfer, the GRAT no longer owns any shares of the Issuer's common stock, while the amount of shares owned by the Revocable Trust increased from 347,574 shares to 456,150 shares. |