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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 | ||||||||
United State Antomony Corp Warrant | $ 1.6 | 12/10/2013 | A | 50,000 | 12/10/2013 | 12/10/2014 | United States Antimony Corp (UAMY) | 0 | $ 1.6 | 50,000 | I (1) | See footnote 1 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Reed Kenneth M 328 ADAMS STREET MILTON, MA 02186 |
X |
/s/ Dr. Kenneth M. Reed | 09/11/2014 | |
**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) | Represents shares held by ReedFLP 5. |
(2) | Represents shares held in Susan K.Reed Grantor Retained Annuity Trust I (trust). Susan K. Reed is the annuity recipient and the sole trustee of the Trust. Kenneth M Reed disclaims beneficial ownership of the shares held by the Trust. |
(3) | Represents the number of shares held in the Kenneth M Reed, M.D., P.C. Profit Sharing Plan (Plan) in which Kenneth M Reed has a pecuniary interest as a plan participant. Kenneth M Reed is the sole trustee of the Plan. Susan K Reed disclaims beneficial ownership of the shares held in the plan. |
(4) | Represents shares held in trust for Allison Reed, Kaitlin Reed, and Jonathan Reed. |
(5) | Represents shares held by the Susan K. Reed Revocable Trust |