Insider filing report for Changes in Beneficial Ownership
"Insiders might sell their shares for any number of reasons, but they buy them for only one: they think the price will rise"
- Peter Lynch
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- Peter Lynch
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FORM 5
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Remarks: 1. On June 16, 2016, the Erma Miller Limited Liability Company (EMLLC) distributed 42,370 shares of the Issuer (the Shares) in-kind to its members. No consideration was given or received in respect of the distribution of the Shares. The Reporting Person was one of four members of EMLLC and received 25% of the Shares (or 10,593 Shares) held by EMLLC. Prior to June 16, 2016, the Shares were held by the EMLLC had been reported as being held indirectly by the Reporting Person (See Reporting Peron's Form 4/A filed May 5, 2015). The Reporting Person inadvertently failed to file a Form 4 when the Shares were distributed in-kind to the EMLLC members.2. Shares acquired pursuant to participation in a divedend reinvestment program. The Reporting Person inadvertently failed to file a Form 5 reporting shares received in his dividend reinvestment program within the required 45 days after the Issuer's fiscal year ending 11/30/2019. |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.