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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 | |
SEIFERT THOMAS G 10940 S PARKER ROAD SUITE 201 PARKER, CO 80134 |
X | Chief Financial Officer |
Thomas Seifert | 04/27/2010 | |
**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) | Pursuant to a plan in accordance with Rule 10b5-1 under the Securities Exchange Act of 1934. |
(2) | Includes (i) 1,085,225 shares of common stock owned by Rocky Mtn. Advisors Corp of which Mr. Seifert is an officer, director and controlling shareholder and (ii) 200,000 share of common stock owned by a child of Mr. Seifert under the age of 18 and which Mr. Seifert is deemed to have dispositive and investment control over. |
(3) | such securities are held by Rocky Mtn. Advisors Corp. |
(4) | Includes (i) 2,585,225 shares of common stock owned by Rocky Mtn. Advisors Corp of which Mr. Seifert is an officer, director and controlling shareholder and (ii) 200,000 share of common stock owned by a child of Mr. Seifert under the age of 18 and which Mr. Seifert is deemed to have dispositive and investment control over. |