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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, 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 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FERRAZZANO FRED J 1141A CUMMINGS RD SANTA PAULA, CA 93060 |
X |
/s/ Fred J. Ferrazzano | 10/03/2007 | |
**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) | Shares are held by Reporting Person indirectly through a family trust, The Fred Ferrazzano and Joan Ferrazzano Trust, dated Janury 17, 2002, by Fred Ferrazzano and Joan Ferrazzano as trustss (the "Trust") |
(2) | Shares are held indirectly in an Individual Retirement Account in the name of Joan Ferrazzano, spouse of Reporting Person "(Spouse's IRA"). |
(3) | Shares are held indirectly in an Individual Retirement Account in the name of Reporting Person ("Reporting Person's IRA"). |
(4) | Correction of prior reporting of shares of common stock of Issuer held by Reporting Person to separate the holdings between the Trust, Spouse's IRA and Reporting Person's IRA. |
(5) | Correction of the number of shares and selling price of common stock of Issuer sold by Reporting Person from 4,500 at $11.65 to 4,500 at $11.65 and 200 at $11.60. |