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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Huber Joe 10940 WILSHIRE BLVD., SUITE 925 LOS ANGELES, CA 90024 |
X |
/s/ Joseph R. Huber | 10/28/2008 | |
**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) | Of the 35,774 shares indirectly owned by the Reporting Person, (i) 4,700 shares are beneficially owned by the Reporting Person as the custodian of a custodial account for the benefit of his child; (ii) 5,561 shares are owned by the Reporting Person's spouse; and (iii) 25,513 shares are beneficially owned by the Reporting Person as the portfolio manager of an investment company for which the Reporting Person's employer serves as the investment adviser. |
(2) | This amendment is being filed to include 25,513 shares that are indirectly owned by the Reporting Person as the portfolio manager of an investment company for which the Reporting Person's employer serves as the investment adviser. |