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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
ARGYROS JULIA ANN 949 SOUTH COAST DRIVE, SUITE 600 COSTA MESA, CA 92626 |
 |  X |  |  |
ARGYROS GEORGE L ARNEL & AFFILIATES 949 SOUTH COAST DR SUITE 600 COSTA MESA, CA 92626 |
 X |  |  |  |
/s/ Julia A. Argyros | 02/13/2014 | |
**Signature of Reporting Person | Date | |
/s/ Julia A. Argyros, as attorney-in-fact for George L. Argyros | 02/13/2014 | |
**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 securities reported on this row are held by the Argyros Family Trust, of which Julia A. Argyros is the sole trustee. |
(2) | The securities reported on this row are held by GLA Financial Corporation, of which the Argyros Family Trust is the sole shareholder. |
(3) | The securities reported on this row are held by the Selia Poulos Trust established under the Leon and Olga Argyros 1986 Trust, of which George L. Argyros is the trustee. George L. Argyros disclaims beneficial ownership of the securities held by the Selia Poulos Trust established under the Leon and Olga Argyros 1986 Trust. |
(4) | The securities reported on this row are held by the Lenore Trigonis Trust established under the Leon and Olga Argyros 1986 Trust, of which George L. Argyros is the trustee. George L. Argyros disclaims beneficial ownership of the securities held by the Lenore Trigonis Trust established under the Leon and Olga Argyros 1986 Trust. |
(5) | On December 30, 2013, HBI Financial, Inc. contributed 165,000 securities to the Argyros Family Foundation as a gift, without the receipt of any consideration. The Argyros Family Foundation is a charitable foundation of which Julia A. Argyros is the President and Chief Executive Officer and George L. Argyros is the Chairman. Neither Julia A. Argyros or George L. Argyros has any pecuniary interest in securities held by the Argyros Family Foundation. |
(6) | The securities reported on this row are held or were contributed by HBI Financial Inc., for which Julia A. Argyros is the Chief Executive Officer and the Argyros Family Trust is the sole shareholder. |
 Remarks: Exhibit List Exhibit 24.1 - Joint Filing Agreement |