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 Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
UPG Enterprises LLC 1400 16TH STREET #250 OAK BROOK, IL 60523 |
X | See Explanation of Responses | ||
Douglass Paul 1400 16TH STREET #250 OAK BROOK, IL 60523 |
X | See Explanation of Responses | ||
Hutter Christopher Gerald 1400 16TH STREET #250 OAK BROOK, IL 60523 |
X | See Explanation of Responses |
UPG Enterprises LLC; By: /s/ Christopher Hutter, Manager | 03/13/2020 | |
**Signature of Reporting Person | Date | |
/s/ Christopher Hutter | 03/13/2020 | |
**Signature of Reporting Person | Date | |
/s/ Paul Douglass | 03/13/2020 | |
**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) | These securities are owned by UPG Enterprises LLC ("UPG"), which is a Reporting Person. |
(2) | Each of Paul Douglass and Christopher Hutter (together, the "Managers") is a Reporting Person and manager of UPG. Each of the Reporting Persons may be deemed to be a member of a Section 13(d) group as disclosed in a Schedule 13D filed on behalf of the Reporting Persons on March 5, 2020. The members of this Section 13(d) group collectively beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. Each of the Reporting Persons disclaims beneficial ownership of the securities reported herein except to the extent of his or its respective pecuniary interest therein. |