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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 | ||||||||
Options (Right to Buy) | $ 5.21 | 10/18/2006 | 10/18/2006 | M | 15,158 | 12/01/2003 | 11/30/2008 | Common Stock | 15,158 | $ 5.21 | 0 | D | |||
Options (Right to Buy) | $ 5.21 | 10/18/2006 | 10/18/2006 | M | 13 | 12/01/1998 | 11/30/2008 | Common Stock | 13 | $ 5.21 | 0 | D | |||
Options (Right to Buy) | $ 5.21 | 10/18/2006 | 10/18/2006 | M | 74,772 | 12/01/1999 | 11/30/2008 | Common Stock | 74,772 | $ 5.21 | 0 | D | |||
Options (Right to Buy) | $ 5.21 | 10/18/2006 | 10/18/2006 | M | 10,057 | 12/01/2000 | 11/30/2008 | Common Stock | 10,057 | $ 5.21 | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GROSS ROBERT G 200 HOLLEDER PARKWAY ROCHESTER, NY 14615 |
X | President and CEO |
/s/ Maureen E. Mulholland as POA for Robert G. Gross | 10/23/2006 | |
**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) | The Reporting Person has also filed a Form 144, indicating his intent to sell up to 75,000 of the 100,000 shares he received upon his exercise today of the options set forth in Table II. The primary purpose of such sale is to pay taxes incurred by the Reporting Person in connection with the option exercise. |
(2) | Amendment filed to correct several clerical errors, including in Table 11, the dates upon which the options became exercisable, in the Form 4 filed by Reporting Person on October 18, 2006. |