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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 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 | |
AOS Partners, LP 35 EAST WACKER DRIVE SUITE 2400 CHICAGO, IL 60601 |
X | |||
GRP II Investors, L.P. 35 EAST WACKER DRIVE SUITE 2400 CHICAGO, IL 60601 |
X | |||
GRP II Partners, L.P. 35 EAST WACKER DRIVE SUITE 2400 CHICAGO, IL 60601 |
X | |||
GRPVC, L.P. 35 EAST WACKER DRIVE SUITE 2400 CHICAGO, IL 60601 |
X |
/s/ Shelly O'Brien, by power of attorney for AOS Partners, L.P. | 10/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ Shelly O'Brien, by power of attorney for GRP II Investors, L.P. nka Upfront II Investors, L.P | 10/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ Shelly O'Brien, by power of attorney for GRP II Partners, L.P. nka Upfront II Partners, L.P. | 10/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ Shelly O'Brien, by power of attorney for GRPVC, L.P. nka Upfront GP II, L.P. | 10/15/2013 | |
**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) | Shares sold pursuant to Issuer's secondary offering by AOS Partners, L.P., GRPVC L P, now known as Upfront GP II, L.P., GRP II Partners, L.P., now known as Upfront II Partners L.P. and GRP II Investors, L.P., now known as Upfront II Investors, L.P. |