UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WAUD CAPITAL PARTNERS, L.L.C. 300 N. LASALLE STREET, SUITE 4900 CHICAGO, IL 60654 |
 |  X |  |  |
/s/ Reeve B. Waud, as Sole Manager of Waud Capital Partners, L.L.C. | 07/17/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 shares are held of record as follows, for the benefit of Waud Capital Partners, L.L.C. ("WCP LLC"): (i) 4,920 by Matthew A. London; (ii) 6,150 by Bradley M. Eckmann; (iii) 6,150 by Christopher J. Graber; (iv) 6,150 by David O. Neighbours; (v) 6,150 by Matthew W. Clary; (vi) 6,150 by Eric S. Gordon; and (vii) 4,920 by Reeve B. Waud. |
(2) | The shares will vest in three equal annual installments beginning May 23, 2013. |
(3) | WCP LLC expressly disclaims beneficial ownership of the reported shares except to the extent of its pecuniary interest therein. |
 Remarks: The reporting person is a member of a "group" with (i) Waud Capital Partners II, L.L.C. ("WCP II LLC"); (ii) Waud Capital Partners Management II, L.P. ("WCPM II"); (iii) Waud Capital Partners II, L.P. ("WCP II"); (iv) Waud Capital Partners QP II, L.P. ("WCP QP II"); (v) WCP FIF II (Acadia), L.P. ("WCP FIF II"); (vi) Waud Capital Affiliates II, L.L.C. ("Waud Affiliates II"); (vii) the Reeve B. Waud 2011 Family Trust; (viii) Waud Family Partners, L.P. ("WFP LP"); (ix) Waud Capital Partners III, L.L.C. ("WCP III LLC"); (x) Waud Capital Partners Management III, L.P. ("WCPM III"); (xi) Waud Capital Partners III, L.P. ("WCP III"); (xii) Waud Capital Partners QP III, L.P. ("WCP QP III"); (xiii) WCP FIF III (Acadia), L.P. ("WCP FIF III"); (xiv) Waud Capital Affiliates III, L.L.C. ("Waud Affiliates III"); (xv) Reeve B. Waud; and (xvi) Melissa W. Waud.  WCPM II is the general partner of WCP II, WCP QP II, WCP FIF II and the Manager of Waud Affiliates II. WCP II LLC is the general partner of WCPM II. WCPM III is the general partner of WCP FIF III, WCP QP III and WCP III and the Manager of Waud Affiliates III. WCP III LLC is the general partner of WCPM III and  Mr. Waud, Ms. Waud's husband, is (A) a member of the Limited Partner Committee of each of WCPM II and WCPM III, (B) the manager of WCP II LLC and WCP III LLC, (C) the general partner of WFP LP, (D) the investment advisor of the Reeve B. Waud 2011 Family Trust and (E) the sole Manager of WCP LLC.  The Form 3's for such other entities are filed separately. |