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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 | |
Beltzman Daniel Gordon 1350 BROADWAY SUITE 2412 NEW YORK, NY 10018 |
X | X | ||
Birch Run Capital Advisors, LP 1350 BROADWAY SUITE 2412 NEW YORK, NY 10018 |
X | |||
BRC Advisors GP, LLC 1350 BROADWAY SUITE 2412 NEW YORK, NY 10018 |
X | |||
Smith Gregory Howard 1350 BROADWAY SUITE 2412 NEW YORK, NY 10018 |
X |
/s/ Daniel Beltzman | 08/22/2014 | |
**Signature of Reporting Person | Date | |
/s/ Gregory Smith | 08/22/2014 | |
**Signature of Reporting Person | Date | |
/s/ Birch Run Capital Advisors, LP Name: Caren E. Abramovich, Title: Chief Operating Officer & Compliance Officer /s/ Caren E. Abramovich | 08/22/2014 | |
**Signature of Reporting Person | Date | |
/s/ BRC Advisors GP, LLC Name: Caren E. Abramovich Title: Chief Operating & Compliance Officer /s/ Caren E. Abramovich | 08/22/2014 | |
**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 total number of Restricted Stock Units held by Daniel Beltzman has been amended to include shares that were acquired pursuant to a dividend reinvestment plan. These shares were omitted from the Reporting Persons Form 4 filed on January 31, 2014 and were also omitted from the subsequent Form 4s filed on May 6, 2014, May 8, 2014, May 12, 2014, May 22, 2014, May 27, 2014 and June 5, 2014. |
(2) | Reflects Restricted Stock Units previously granted to Daniel Beltzman, Co-Manager of Birch Run Capital Advisors, LP, as compensation for Mr. Beltzman's service on the Issuer's Board of Directors. Each restricted stock unit represents a contingent right to receive one share of RGS common stock. |