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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DEEKS TERENCE N C/O THE NAVIGATORS GROUP, INC. ONE PENN PLAZA NEW YORK, NY 10119 |
 |  X |  |  |
/s/ Terence N. Deeks | 02/14/2007 | |
**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 distribution in kind by the Terence N. Deeks 2003 Qualified Three year Annuity Trust (the "2003 Trust") to the adult children of the Reporting Person or to trusts for the benefit of Reporting Person's children or grandchildren. |
(2) | Represents gift to the Terence N. Deeks 2006 Qualified Three Year Annuity Trust (the "2006 Trust"). |
(3) | Represents gift to Johns Hopkins University (of Baltimore, Maryland). |
(4) | Represents distribution in kind by the Terence N. Deeks 2004 Qualified Three Year Annuity Trust (the "2004 Trust"). |
(5) | Represents distribution in kind by the 2006 Trust. |
(6) | Represents distribution in kind by the 2005 Trust. |
(7) | Includes 2,702,739 shares held by the 2005 Trust, 2006 Trust, and the Terence N. Deeks 2007 Qualified Three Year Annuity Trust (collectively the "Trusts"), as of the date hereof, of which the Reporting Person is the settlor, 76,842 shares owned jointly with the Reporting Person's wife, and 5,000 shares held by the Deeks Family Foundation (the "Foundation"). The Reporting Person disclaims beneficial ownership of the shares held by the Trust and the Foundation except to the extent of his pecuniary interest therein. |