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 | ||||
Series A Warrant | 08/16/2013 | 08/16/2018 | Common Stock | 100,000 | $ 2.75 | D (1) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hoak Public Equities, LP 3963 MAPLE AVENUE SUITE 450 DALLAS, TX 75219 |
 |  X |  |  |
Hoak Fund Management, L.P. 3963 MAPLE AVENUE SUITE 450 DALLAS, TX 75219 |
 |  X |  |  |
Hoak & Co. 3963 MAPLE AVENUE SUITE 450 DALLAS, TX 75219 |
 |  X |  |  |
HOAK JAMES M 3963 MAPLE AVENUE SUITE 450 DALLAS, TX 75219 |
 |  X |  |  |
Hoak J. Hale 3963 MAPLE AVENUE SUITE 450 DALLAS, TX 75219 |
 |  X |  |  |
/s/ Hoak Public Equities, L.P. | 05/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Hoak Fund Management, L.P. | 05/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ Hoak & Co. | 05/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ James M. Hoak | 05/12/2014 | |
**Signature of Reporting Person | Date | |
/s/ J. Hale Hoak | 05/12/2014 | |
**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) | Securities reported herein are owned directly by Hoak Public Equities, L.P. ("HPE"). Each of the Hoak Fund Management, L.P. (HPE's general partner), Hoak & Co. (Hoak Fund Management, L.P.'s general partner), James M. Hoak (Hoak & Co.'s controlling shareholder), and J. Hale Hoak (President of Hoak & Co.) may be deemed to be the beneficial owner of securities beneficially owned by HPE. Each of the reporting persons disclaims beneficial ownership of any securities reported herein except to the extent of such reporting person's pecuniary interest therein. |