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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Call Option (right to buy) | 12/13/2016 | 03/17/2017 | Common Stock | 40,000 | $ 5 | I | By Osmium Capital, LP (1) |
Call Option (right to buy) | 12/13/2016 | 03/17/2017 | Common Stock | 60,000 | $ 7.5 | I | By Osmium Capital, LP (1) |
Call Option (right to buy) | 02/03/2017 | 09/15/2017 | Common Stock | 130,000 | $ 7.5 | I | By Osmium Capital, LP (1) |
Call Option (right to buy) | 02/10/2017 | 09/15/2017 | Common Stock | 120,000 | $ 5 | I | By Osmium Capital, LP (1) |
Call Option (right to buy) | 02/03/2017 | 09/15/2017 | Common Stock | 70,000 | $ 7.5 | I | By Osmium Capital II, LP (1) |
Call Option (right to buy) | 02/10/2017 | 09/15/2017 | Common Stock | 20,000 | $ 5 | I | By Osmium Capital II, LP (1) |
Call Option (right to buy) | 02/10/2017 | 09/15/2017 | Common Stock | 40,000 | $ 5 | I | By Osmium Spartan, LP (1) |
Call Option (right to buy) | 02/10/2017 | 09/15/2017 | Common Stock | 20,000 | $ 5 | I | By Osmium Diamond, LP (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Osmium Partners, LLC 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
OSMIUM CAPITAL LP 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
Osmium Capital II, LP 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
OSMIUM SPARTAN L P 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
Osmium Diamond, LP 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
Lewis John Hartnett 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
Osmium Special Opportunity Fund, LP 300 DRAKES LANDING ROAD SUITE 172 GREENBRAE, CA 94904 |
 |  X |  |  |
/s/ John H. Lewis, individually, and as Managing Member of Osmium Partners, LLC, for itself and as General Partner of Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP | 02/14/2017 | |
**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) | The general partner of Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP is Osmium Partners, LLC. John H. Lewis is the controlling member of Osmium Partners, LLC, and Mr. Lewis may be deemed to have voting and dispositive power with respect to the shares held by Osmium Capital, LP, Osmium Capital II, LP, Osmium Spartan, LP, Osmium Diamond, LP and Osmium Special Opportunity Fund, LP. Mr. Lewis disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein, if any, and this report shall not be deemed an admission that Mr. Lewis is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose. |