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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 | |
BOND INA BROWN 850 DIXIE HIGHWAY LOUISVILLE, KY 40210 |
X |
Diane M. Barhorst, Atty in Fact for: Ina Brown Bond | 07/18/2012 | |
**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 July 12, 2012, River Bend 2011 LP dissolved and distributed its assets to its partners pro rata. |
(2) | On July 13, 2012, the 2011 Irrevocable Trust settled a promissory note held by the reporting person using Class A shares. The reporting person disclaims beneficial ownership of the 2011 Irrevocable Trust except to the extent of her pecuniary interest therein. |
(3) | On July 13, 2012, the reporting person and the Ina Brown Bond Trust B contributed Class A shares to form River Bend 2012 LP. The reporting person disclaims beneficial ownership of the Ina Brown Bond Trust B and River Bend 2012 LP except to the extent of her pecuniary interest therein. |
(4) | On July 13, 2012, the reporting person transferred River Bend 2012 LP units representing approximately 48.26% of the partnership units to a trust in exchange for quarterly installment payments. The reporting person disclaims beneficial ownership of such trust except to the extent of her pecuniary interest therein. |
(5) | On July 13, 2012, units representing approximately 99% of Olympus Four LLC were distributed to the reporting person, the Ina Brown Bond Trust B, and the 2011 Irrevocable Trust as a result of the dissolution of River Bend 2011 LP. The 2011 Irrevocable Trust conveyed its Olympus Four LLC units to the reporting person as part of the settlement of the promissory note referenced herein. Finally, the reporting person and the Ina Brown Bond Trust B re-contributed the same 99% interest in Olympus Four LLC to River Bend 2012 LP. At all times, the reporting person retained the same pecuniary interest in Olympus Four LLC, but disclaims any other interest in Olympus Four LLC. |
(6) | Adjusted to reflect change in form of ownership. On June 1, 2012, Hebe LP contributed a pro rata percentage of shares to Hebe Four LP. The reporting person disclaims beneficial ownership of Hebe Four LP except to the extent of her pecuniary interest therein. |