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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 | ||||||||
Warrants (5) | $ 7.5 | 02/19/2010 | S(2) | 18,750 | 06/19/2008 | 06/18/2011 | Common Stock | 18,750 | $ 0.39 | 1,425,000 | I | Held by the Jason G. Weiss Revocable Trust (3) | |||
Warrants (5) | $ 7.5 | 02/22/2010 | S(2) | 15,000 | 06/19/2008 | 06/18/2011 | Common Stock | 15,000 | $ 0.39 | 1,410,000 | I | Held by the Jason G. Weiss Revocable Trust (3) | |||
Warrants (5) | $ 7.5 | 02/23/2010 | S(2) | 15,000 | 06/19/2008 | 06/18/2011 | Common Stock | 15,000 | $ 0.36 | 1,395,000 | I | Held by the Jason G. Weiss Revocable Trust (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Weiss Jason TERRAPIN PALISADES VENTURES, LLC 1001 RIVAS CANYON ROAD PACIFIC PALISADES, CA 90272 |
X |
/s/ Karen Gowland, Attorney-in-Fact for Jason G. Weiss | 02/23/2010 | |
**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) | Mr. Weiss's 268,658 shares include his 2008 time-vesting restricted stock award of 36,100 shares, which vested on March 2, 2009; and his 2009 time-vesting restricted stock award of 232,558 shares, which will vest on March 15, 2010. |
(2) | The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 23, 2009. |
(3) | Mr. Weiss serves as the trustee of the Jason G. Weiss Revocable Trust. |
(4) | Mr. Murray Sprung serves as the trustee of the Weiss Family Trust. |
(5) | Each warrant entitles Mr. Weiss the right to purchase one share of Boise Inc. common stock. |