|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Subscription Rights (right to buy) | $ 1.1963 (3) | 09/21/2012 | X | 110,992 (4) | 08/23/2012 | 09/21/2012 | Common stock | 13,874 | $ 0 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PARTAIN NATHAN I C/O DUFF & PHELPS INVESTMENT MANAGEMENT 200 S WACKER DR, STE 500 CHICAGO, IL 60606 |
X | President and CEO |
Nathan I. Partain | 10/02/2012 | |
**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 reporting person was notified on October 1, 2012 that, pursuant to the over-subscription privilege, he had been allowed to purchase 10,110 shares that were unsubscribed for by other rights holders, in addition to the 3,764 shares he acquired in the primary subscription and reported in his original Form 4 filing dated September 25, 2012. |
(2) | Includes 3,165 shares acquired by the reporting person since his last Form 4 filing pursuant to a dividend reinvestment plan meeting the requirements of Rule 16a-11 under the Securiteis Exchange Act of 1934. |
(3) | The subscription rights entitle the holder to purchase one new share of common stock for every eight rights held. |
(4) | The reporting person was notified on October 1, 2012 that, pursuant to the over-subscription privilege, he had been allowed to exercise 80,880 subscription rights in addition to the 30,112 subscription rights he exercised in the primary subscription and reported in his original Form 4 filing dated September 25, 2012. |