General Rules and Regulations
promulgated under the
Securities Exchange Act of 1934
Schedule 13D -- Information to Be Included in Statements Filed Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to Rule 13d-2(a)
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
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Under the Securities Exchange Act of 1934 (Amendment No. --)* ................................................................................................................
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(Name of Issuer) ................................................................................................................
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(Title of Class of Securities) ................................................................................................................
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(CUSIP Number) ................................................................................................................
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(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications) ................................................................................................................
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(Date of Event Which Requires Filing of This Statement)
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If the filing person has previously filed a statement on Schedule
13G to report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), Rule
13d-1(f) or Rule 13d-1(g), check the following box.[ ]
Note: Schedules filed in paper format shall include a signed original and five copies
of the schedule, including all exhibits. See Rule 13d-7(b)
for other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's initial
filing on this form with respect to the subject class of securities, and for any
subsequent amendment containing information which would alter disclosures provided
in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section
18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject
to the liabilities of that section of the Act but shall be subject to all other provisions
of the Act (however, see the Notes).
| CUSIP No. ............................................................................................................. |
>___________________________________________________________________________________
(1)
Names of Reporting Persons I.R.S. Identification
Nos. of Above Persons.......
............................................................................................................ |
___________________________________________________________________________________
(2) Check the Appropriate Box if a Member of a Group (See
Instructions)......................
(a).........................................................................................................
(b)......................................................................................................... |
___________________________________________________________________________________
(3) SEC Use Only ...................................................................................... |
___________________________________________________________________________________
(4) Source of Funds (See Instructions) .............................................................. |
___________________________________________________________________________________
(5) Check if Disclosure of Legal Proceedings is Required
Pursuant to Items 2(d) or 2(e).... |
___________________________________________________________________________________
(6) Citizenship or Place of Organization............................................................. |
___________________________________________________________________________________
Number of Shares (7)Sole Voting Power............................................................ |
Beneficially ____________________________________________________________
Owned (8)Shared
Voting Power......................................................... |
by Each ____________________________________________________________
Reporting (9)Sole
Dispositive Power....................................................... |
Person ____________________________________________________________
With (10)Shared
Dispositive Power................................................... |
___________________________________________________________________________________
(11)Aggregate Amount Beneficially Owned by Each Reporting
Person......................... |
___________________________________________________________________________________
(12)Check if the Aggregate Amount in Row (11) Excludes Certain
Shares (See Instructions) |
___________________________________________________________________________________
(13)Percent of Class Represented by Amount in Row (11)....................................... |
___________________________________________________________________________________
(14)Type of Reporting Person (See Instructions)..................................................
............................................................................................................................
............................................................................................................................
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Instructions for Cover Page
| (1)
Names and I.R.S. Identification Numbers of Reporting Persons Furnish the full
legal name of each person for whom the report is filed-i.e., each person required
to sign the schedule itself-including each member of a group. Do not include the
name of a person required to be identified in the report but who is not a reporting
person. Reporting persons are also requested to furnish their I.R.S. identification
numbers, although disclosure of such numbers is voluntary, not mandatory (see "SPECIAL
INSTRUCTIONS FOR COMPLYING WITH SCHEDULE 13-D" below). |
| (2)
If any of the shares beneficially owned by a reporting person are held as a member
of a group and the membership is expressly affirmed, please check row 2(a). If the
reporting person disclaims membership in a group or describes a relationship with
other person but does not affirm the existence of a group, please check row 2(b)
[unless it is a joint filing pursuant to Rule 13d-1(k)(1)
in which case it may not be necessary to check row 2(b)]. |
| (3)
The 3rd row is for SEC internal use; please leave blank. |
| (4)
Classify the source of funds or other consideration used or to be used in making
the purchases as required to be disclosed pursuant to Item 3
of Schedule 13D and insert the appropriate symbol (or symbols if more than one is
necessary in row (4): |
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Category of Source
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Symbol
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| Subject Company (Company whose securities are being acquired) |
SC
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| Bank |
BK
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| Affiliate (of reporting person) |
AF
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| Working Capital (of reporting person) |
WC
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| Personal Funds (of reporting person) |
PF
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| Other |
OO
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| (5)If
disclosure of legal proceedings or actions is required pursuant to either Items
2(d) or 2(e) of Schedule 13D, row 5 should be checked. |
| (6)Citizenship
or Place of Organization---Furnish citizenship if the named reporting person
is a natural person. Otherwise, furnish place of organization. (See Item
2 of Schedule 13D). |
| (7)-(11),(13)Aggregate Amount Beneficially Owned by Each Reporting Person,
Etc.-Rows 7 through 11, inclusive, and (13) are to be completed in accordance
with the provisions of Item 5 of Schedule 13D. All percentages are to be rounded
off to nearest tenth (one place after decimal point). |
| (12)
Check if the aggregate amount reported as beneficially owned in row 11 does not include
shares which the reporting person discloses in the report but as to which beneficial
ownership is disclaimed pursuant to Rule 13d-4 [17 CFR 240.13d-4] under the Securities
Exchange Act of 1934. |
| (14)
Type of Reporting Person-Please classify each "reporting person"
according to the following breakdown and place the appropriate symbol (or symbols,
i.e., if more than one is applicable, insert all applicable symbols) on the form: |
| Category |
Symbol
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| Broker Dealer |
BD
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| Bank |
BK
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| Insurance Company |
IC
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| Investment Company |
IV
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| Investment Adviser |
IA
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| Employee Benefit Plan or Endowment Fund |
EP
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| Parent Holding Company/Control Person |
HC
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| Savings Association |
SA
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| Church Plan |
CP
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| Corporation |
CO
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| Partnership |
PN
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| Individual |
IN
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| Other |
OO
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Note: Attach additional pages if needed.
Notes:
Attach as many copies of the second part
of the cover page as are needed, one reporting person per page.
Filing persons may, in order to avoid unnecessary
duplication, answer items on the schedules (Schedule 13D, 13G, or 14D-1) by appropriate
cross references to an item or items on the cover page(s). This approach may only
be used where the cover page item or items provide all the disclosure required by
the schedule item. Moreover, such a use of a cover page item will result in the item
becoming a part of the schedule and accordingly being considered as "filed"
for purposes of Section 18 of the Securities Exchange
Act or otherwise subject to the liabilities of that section of the Act.
Reporting persons may comply with their cover
page filing requirements by filing either completed copies of the blank forms available
from the Commission, printed or typed facsimiles, or computer printed facsimiles,
provided the documents filed have identical formats to the forms prescribed in the
Commission's regulations and meet existing Securities Exchange Act rules as to such
matters as clarity and size (Securities Exchange Act Rule 12b-12).
SPECIAL INSTRUCTIONS FOR COMPLYING WITH SCHEDULE 13D
Under Sections
13(d) and 23 of the Securities Exchange Act
of 1934 and the rules and regulations thereunder, the Commission is authorized to
solicit the information required to be supplied by this schedule by certain security
holders of certain issuers.
Disclosure of the information specified in this
schedule is mandatory, except for Social Security or I.R.S. identification numbers,
disclosure of which is voluntary. The information will be used for the primary purpose
of determining and disclosing the holdings of certain beneficial owners of certain
equity securities. This statement will be made a matter of public record. Therefore,
any information given will be available for inspection by any member of the public.
Because of the public nature of the information,
the Commission can utilize it for a variety of purposes, including referral to other
governmental authorities or securities self-regulatory organizations for investigatory
purposes or in connection with litigation involving the Federal securities laws or
other civil, criminal or regulatory statements or provisions. Social Security or
I.R.S. identification numbers, if furnished, will assist the Commission in identifying
security holders and, therefore, in promptly processing statements of beneficial
ownership of securities.
Failure to disclose the information requested
by this schedule, except for Social Security or I.R.S. identification numbers, may
resuly in civil or criminal action against the persons involved for violation of
the Federal securities laws and rules promulgated thereunder.
General Instructions
- The item numbers and captions of the items shall be included
but the text of the items is to be omitted. The answers to the items shall be so
prepared as to indicate clearly the coverage of the items without referring to the
text of the items. Answer every item. If an item is inapplicable or the answer is
in the negative, so state.
- Information contained in exhibits to the statement may be
incorporated by reference in answer or partial answer to any item or sub-item of
the statement unless it would render such answer misleading, incomplete, unclear
or confusing. Matter incorporated by reference shall be clearly identified in the
reference by page, paragraph, caption or otherwise. An express statement that the
specified matter is incorporated by reference shall be made at the particular place
in the statement where the information is required. A copy of any information or
a copy of the pertinent pages of a document containing such information which is
incorporated by reference shall be submitted with this statement as an exhibit and
shall be deemed to be filed with the Commission for all purposes of the Act.
- If the statement is filed by a general or limited partnership,
syndicate, or other group, the information called for by Items 2-6, inclusive, shall
be given with respect to
- each partner of such general partnership;
- each partner who is denominated as a general partner
or who functions as a general partner of such limited partnership;
- each member of such syndicate or group; and
- each person controlling such partner or member. If the
statement is filed by a corporation or if a person referred to in (i),(ii), (iii)
or (iv) of this Instruction is a corporation, the information called for by the above
mentioned items shall be given with respect to
- each executive officer and director of such corporation;
- each person controlling such corporation; and
- each executive officer and director of any corporation
or other person ultimately in control of such corporation.
Item 1. Security and Issuer
State the title of the class of equity securities
to which this statement relates and the name and address of the principal executive
offices of the issuer of such securities.
Item 2. Identity and Background
If the person filing this statement or any
person enumerated in Instruction C of this statement is a
corporation, general partnership, limited partnership, syndicate or other group of
persons, state its name, the state or other place of its organization, its principal
business, the address of its principal office and the information required by (d)
and (e) of this Item. If the person filing this statement or any person enumerated
in Instruction C is a natural person, provide the information specified in (a) through
(f) of this Item with respect to such person(s).
- Name;
- Residence or business address;
- Present principal occupation or employment and
the name, principal business and address of any corporation or other organization
in which such employment is conducted;
- Whether or not, during the last five years,
such person has been convicted in a criminal proceeding (excluding traffic violations
or similar misdemeanors) and, if so, give the dates, nature of conviction, name and
location of court, any penalty imposed, or other disposition of the case;
- Whether or not, during the last five years,
such person was a party to a civil proceeding of a judicial or administrative body
of competent jurisdiction and as a result of such proceeding was or is subject to
a judgment, decree or final order enjoining future violations of, or prohibiting
or mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws; and, if so, identify and describe such proceedings
and summarize the terms of such judgment, decree or final order; and
- Citizenship.
Item 3. Source and Amount of Funds or Other Consideration
State the source and the amount of funds or
other consideration used or to be used in making the purchases, and if any part of
the purchase price is or will be represented by funds or other consideration borrowed
or otherwise obtained for the purpose of acquiring, holding, trading or voting the
securities, a description of the transaction and the names of the parties thereto.
Where material, such information should also be provided with respect to prior acquisitions
not previously reported pursuant to this regulation. If the source of all or any
part of the funds is a loan made in the ordinary course of business by a bank, as
defined in Section 3(a)(6) of the Act, the name of the bank shall not be made available to the public if the person at the time of filing the statement so requests in writing and files such
request, naming such bank, with the Secretary of the Commission. If the securities
were acquired other than by purchase, describe the method of acquisition.
Item 4. Purpose of Transaction
State the purpose or purposes of the acquisition
of securities of the issuer. Describe any plans or proposals which the reporting
persons may have which relate to or would result in:
- The acquisition by any person of additional
securities of the issuer, or the disposition of securities of the issuer;
- An extraordinary corporate transaction, such
as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;
- A sale or transfer of a material amount of assets
of the issuer or any of its subsidiaries;
- Any change in the present board of directors
or management of the issuer, including any plans or proposals to change the number
or term of directors or to fill any existing vacancies on the board;
- Any material change in the present capitalization
or dividend policy of the issuer;
- Any other material change in the issuer's business
or corporate structure, including but not limited to, if the issuer is a registered
closed-end investment company, any plans or proposals to make any changes in its
investment policy for which a vote is required by Section
13 of the Investment Company Act of 1940;
- Changes in the issuer's charter, bylaws or instruments
corresponding thereto or other actions which may impede the acquisition of control
of the issuer by any person;
- Causing a class of securities of the issuer
to be delisted from a national securities exchange or to cease to be authorized to
be quoted in an inter-dealer quotation system of a registered national securities
association;
- A class of equity securities of the issuer becoming eligible
for termination of registration pursuant to Section
12(g)(4) of the Act; or
- Any action similar to any of those enumerated
above.
Item 5. Interest in Securities of the Issuer.
- State the aggregate number and percentage of the class
of securities identified pursuant to Item 1 (which may be based
on the number of securities outstanding as contained in the most recently available
filing with the Commission by the issuer unless the filing person has reason to believe
such information is not current) beneficially owned (identifying those shares which
there is a right to aquire) by each person named in Item 2.
The above mentioned information should also be furnished with respect to persons
who, together with any of the persons named in Item 2, comprise a group within the
meaning of Section13(d)(3) of the Act;
- For each person named in response to paragraph (a), indicate
the number of shares as to which there is sole power to vote or to direct the vote,
sole power to dispose or to direct the disposition, or shared power to dispose or
to direct the disposition. Provide the applicable information required by Item
2 with respect to each person with whom the power to vote or to direct the vote
or to dispose or direct the disposition is shared;
- Describe any transactions in the class of securities
reported on that were effected during the past sixty days or since the most recent
filing of Schedule 13D, whichever is less, by the persons named in response to paragraph
(a).
Instruction. The description of a transaction
required by Item 5(c) shall include, but not necessarily be limited to:
- The identity of the person covered by Item 5(c)
who effected the transaction;
- the date of transaction;
- the amount of securities involved;
- the price per share or unit; and
- where and how the transaction was effected.
- If any other person is known to have the right
to receive or the power to direct the receipt of dividends from, or the proceeds
from the sale of, such securities, a statement to that effect should be included
in response to this item and, if such interest relates to more than five percent
of the class, such person should be identified. A listing of the shareholders of
an investment company registered under the Investment
Company Act of 1940 or the beneficiaries of an employee benefit plan, pension
fund or endowment fund is not required.
- If applicable, state the date on which the reporting
person ceased to be the beneficial owner of more than five percent of the class of
securities.
Instruction. For computations regarding securities
which represent a right to acquire an underlying security, see Rule
13d-3(d)(1) and the note thereto.
Item 6. Contracts, Arrangements, Understandings or Relationships
With Respect to Securities of the Issuer.
Describe any contracts, arrangements, understandings
or relationships (legal or otherwise) among the persons named in Item
2 and between such persons and any person with respect to any securities of the
issuer, including but not limited to transfer or voting of any of the securities,
finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees
of profits, division of profits or loss, or the giving or withholding of proxies,
naming the persons with whom such contracts, arrangements, understandings or relationships
have been entered into. Include such information for any of the securities that are
pledged or otherwise subject to a contingency the occurrence of which would give
another person voting power or investment power over such securities except that
disclosure of standard default and similar provisions contained in loan agreements
need not be included.
Item 7. Material to be Filed as Exhibits.
The following shall be filed as exhibits:
Copies of written agreements relating to the filing of joint acquisition statements
as required by Rule 13d-1(k) and copies of all written
agreements, contracts, arrangements, understanding, plans or proposals relating to:
- The borrowing of funds to finance the acquisition as disclosed
in Item 3;
- the acquisition of issuer control, liquidation, sale of
assets, merger, or change in business or corporate structure, or any other matter
as disclosed in Item 4; and
- the transfer or voting of the securities, finder's fees,
joint ventures, options, puts, calls, guarantees of loans, guarantees against loss
or of profit, or the giving or withholding of any proxy as disclosed in Item
6.
Signature.
After reasonable inquiry and to the best of
my knowledge and belief, I certify that the information set forth in this statement
is true, complete and correct.
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Date |
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Signature |
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Name/Title |
The original statement shall be signed by each
person on whose behalf the statement is filed or his authorized representative. If
the statement is signed on behalf of a person by his authorized representative (other
than an executive officer or general partner of this filing person) , evidence of
the representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference. The
name and any title of each person who signs the statement shall be typed or printed
beneath his signature.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal
violations (See 18 U.S.C. 1001).
Published for the Center for Corporate Law
by the Center for Electronic Text in the Law