3: Initial statement of beneficial ownership of securities
Published on May 21, 2014
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 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 |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Riggs Arthur 4852 SAINT ANDREAS AVENUE LA VERNE, CA 91750 |
X | |||
Riggs Jane Merrill 4852 SAINT ANDRES AVENUE LA VERNE, CA 91750 |
X |
Signatures
/s/ Arthur Riggs | 05/21/2014 | |
**Signature of Reporting Person | Date | |
/s/ Jane Riggs | 05/21/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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 shares are owned by the Arthur and Jane Riggs 1990 Revocable Trust, a revocable Trust of which Dr. Riggs and his wife are co-trustees. Dr. and Mrs. Riggs as co-trustees of the Trust share voting and dispositive power over the shares. |
(2) | This form is filed by Arthur Riggs and Jane Riggs who share the same address. |