Item 4.Ownership.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
(a) Amount beneficially owned:
The Reporting Persons beneficially own 907,622 shares of Common Stock, consisting of: (i) 758,204 shares of Common Stock, and (ii) warrants exercisable for 149,418 shares of Common Stock.
(b) Percent of class:
The Reporting Persons have beneficial ownership of 907,622 shares of Common Stock constituting 8.7% of all of the outstanding shares of Common Stock.
(c) Number of shares as to which such person has:
(i)Sole power to vote or to direct the vote
Each of Paloma and S. Donald Sussman has the sole power to vote or direct the vote of the 907,622 shares of Common Stock beneficially owned by them.
(ii)Shared power to vote or to direct the vote
Not applicable.
(iii)Sole power to dispose or to direct the disposition of
Each of Paloma and S. Donald Sussman has the sole power to dispose or direct the disposition of the 907,622 shares of Common Stock beneficially owned by them.
(iv)Shared power to dispose or to direct the disposition of
Not applicable.
|
Item 7.
|
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company.
|
Paloma holds its 907,622 shares of Common Stock that it beneficially owns through its wholly-owned subsidiary, Sunrise Partners Limited Partnership, a Delaware limited partnership.
By signing below the undersigned certifies that, to the best of its or his knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
SIGNATURES
After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct.
Dated: February 14, 2013
PALOMA INTERNATIONAL L.P.
By: Paloma GP LLC, general partner
By: /s/ Michael J. Berner
Michael J. Berner
Vice President
S. DONALD SUSSMAN
By: /s/ Michael J. Berner
Michael J. Berner
Attorney-in-Fact
EXHIBIT C
POWER OF ATTORNEY
The undersigned hereby makes, constitutes and appoints each of Michael J. Berner and Douglas W. Ambrose as the undersigned’s true and lawful authorized representative, attorney-in-fact and agent, each with the power individually to execute for and on behalf of the undersigned and to file with and deliver to the United States Securities and Exchange Commission and any other authority or party required or entitled to receive the same: (a) any Forms 3, 4 and 5, and any amendments thereto, in accordance with Section 16(a) of the Securities Exchange Act of 1934, as amended (the “1934 Act”), and the rules promulgated thereunder; and (b) any Schedule 13D or Schedule 13G, and any amendments thereto, on behalf of the undersigned in accordance with Section 13 of the 1934 Act and the rules promulgated thereunder.
The undersigned also hereby grants to each such attorney-in-fact the full power and authority to do and perform all and every act and thing whatsoever requisite, necessary and proper to be done in the exercise of any of the rights and powers herein granted, hereby ratifying and confirming all that such attorney-in-fact shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted. The undersigned acknowledges that each of the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, is not assuming any of the undersigned's responsibilities to comply with Section 16 or Section 13 or any other provision of the 1934 Act or the rules promulgated thereunder.
This Power of Attorney shall remain in full force and effect until earlier revoked by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact.
IN WITNESS WHEREOF, the undersigned has executed this Power of Attorney as of May 9, 2006.
/s/ S. Donald Sussman
S. Donald Sussman
ACKNOWLEDGEMENT IN CONNECTICUT
STATE OF CONNECTICUT, COUNTY OF FAIRFIELD ss.:
On May 9, 2006, before me, the undersigned personally appeared, S. Donald Sussman, personally known to me or proved to me on the basis of satisfactory evidence to be the individual whose name is subscribed to the within instrument and acknowledged to me that he executed the same in his capacity, and that by his signature on the instrument, the individual, or the person upon behalf of which the individual acted, executed the instrument.
/s/ Diane R. Erickson, Notary Public
(signature and office of
individual taking acknowledgement)