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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 | ||||||||
Series B Convertible Voting Perpetual Preferred Shares | (1) | 08/27/2020 | P | 633 | (1) | (1) | Common Stock | 4,220 | $ 81.77 | 697 | D | ||||
Series C Convertible Voting Perpetual Preferred Shares | (1) | 08/27/2020 | P | 236 | (1) | (1) | Common Stock | 1,573 | $ 54.26 | 236 | D | ||||
Series D Voting Perpetual Preferred Shares | (1) | 08/27/2020 | P | 353 | (1) | (1) | Common Stock | 2,353 | $ 53.15 | 353 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HENCKELS LUTZ P 5990 GLEASON DRIVE DUBLIN, CA 94568 |
X | COO, CFO, EVP |
/s/ Lutz P. Henckels | 09/03/2020 | |
**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) | Each share of preferred stock is convertible at any time upon request into shares of common stock on a 1:667 basis. Such preferred stock has no expiration date. |
Remarks: This amendment is filed solely to correct the Reporting Person's officer positions. There are no changes to the transactions or holdings reported in the Reporting Person's original Form 4 filed on August 31, 2020. |