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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 | ||||||||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 5,837 | 11/30/2021 | 12/16/2021 | Common Stock | 5,837.00 (1) | $ 0 | 0 | D | ||||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 889 | 11/30/2021 | 12/16/2021 | Common Stock | 889.00 (1) | $ 0 | 0 | I | By Modern Holdings Incorporated | |||
| Common Stock | $ 12.75 | 12/16/2021 | M | 18 | 11/30/2021 | 12/16/2021 | Common Stock | 18.00 (1) | $ 0 | 0 | I | UTMA for Child - H.V. Guy | |||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 18 | 11/30/2021 | 12/16/2021 | Common Stock | 18.00 (1) | $ 0 | 0 | I | UTMA for Child - H.L. Guy | |||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 11 | 11/30/2021 | 12/16/2021 | Common Stock | 11.00 (1) | $ 0 | 0 | I | UTMA for Child - E.K. Guy | |||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 11 | 11/30/2021 | 12/16/2021 | Common Stock | 11.00 (1) | $ 0 | 0 | I | UTMA for Child - G.E. Guy | |||
| Subscription Rights (Right to Buy) | $ 12.75 | 12/16/2021 | M | 10,118 | 11/30/2021 | 12/16/2021 | Common Stock | 10,118.00 (1) (3) | $ 0 | 0 | I | Investment Advisor | |||
| Reporting Owner Name / Address | Relationships | |||
| Director | 10% Owner | Officer | Other | |
| Guy Henry L 89 SUMMIT AVENUE, SECOND FLOOR SUMMIT, NJ 07901 |
X | |||
| Pauline A Sumner, Power of Attorney for Henry L. Guy | 12/27/2021 | |
| **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) | On November 30, 2021, the issuer commenced a rights offering pursuant to which the issuer distributed non transferable subscription rights (the "Subscription Rights") to holders of record of it common stock as of 5:00 p.m. New York Time, on November 29, 2021. Each eligible recordholder received on Subscription Right for each share of common stock held of record by such holder as of the record date. Each Subscription Right entitled its holder, subject to certain limitations and conditions, to purchase 0.083768 shares of common stock at a subscription price of $12.75 per whole share. Holders of Subscription Rights that exercised in full such basic subscription rights were entitled, subject to certain limitations and conditions, to oversubscribe for additional shares of common stock that remained unsubscribed for the rights offering. The rights offering expired on December 16, 2021 and the Company announced the results of the offering on December 17, 2021. |
| (2) | Shares directly acquired by the reporting person as a result of their exercise of subscription rights and oversubscription privilege in connection with the issuer's rights offering. |
| (3) | The Reporting Person is an advisor of Pittco Direct Investment I. Pittco Direct Investment I is the direct beneficial owner of the securities. The Reporting Person disclaims beneficial ownership, within the meaning of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise of such portion of the Pittco Direct Investment I shares in which the Reporting Person has no pecuniary interest. |