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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 | |
ESOPUS CREEK VALUE L P 500 5TH AVE SUITE 2620 NEW YORK, NY 10110 |
X | See (1) | ||
Esopus Creek Advisors LLC 500 FIFTH AVENUE, SUITE 2620 NEW YORK, NY 10110 |
X | See (1) | ||
Criscione Joseph S 500 FIFTH AVENUE, SUITE 2620 NEW YORK, NY 10110 |
X | See (1) | ||
Sole Andrew L. 500 FIFTH AVENUE, SUITE 2620 NEW YORK, NY 10110 |
X | See (1) |
Andrew L. Sole, Managing Member of Esopus Creek Advisors LLC, General Partner of Esopus Creek Value LP | 12/08/2006 | |
**Signature of Reporting Person | Date | |
Andrew L. Sole | 12/08/2006 | |
**Signature of Reporting Person | Date | |
Joseph S. Criscione | 12/08/2006 | |
**Signature of Reporting Person | Date | |
Andrew L. Sole, Managing Member of Esopus Creek Advisors LLC | 12/08/2006 | |
**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) | Esopus Creek Value LP (the "Fund") may be deemed to be a member of a group within the meaning of Rule 13d-5 promulgated under the Securities Exchange Act of 1934, as amended, consisting of D. E. Shaw Laminar Portfolios, L.L.C. and Black Horse Capital Advisors LLC and the other reporting persons (collectively, the "Group Members") identified in the Schedule 13D/A filed on November 22, 2006, as amended, by the Group Members. |
(2) | Esopus Creek Advisors LLC ("Advisors") is the general partner of the Fund. Andrew L. Sole and Joseph S. Criscione are the managing members of Advisors and are deemed to beneficially own the shares of common stock of the Issuer owned by the Fund. For purposes of this Form 4, Advisors and Messrs. Sole and Criscione disclaim ownership of the shares of common stock owned by the Fund except to the extent of their pecuniary interest therein. |
(3) | The Fund, Advisors and Messrs. Sole and Criscione disclaim any pecuniary interest in the shares of common stock owned by the other Group Members. |