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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 | ||||||||
Common Stock (Option To Buy) | $ 1.15 | 07/26/2006 | M | 228,000 | 08/20/2003 | 08/20/2011 | Common Stock | 228,000 | (2) | 272,000 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KLAUS L GEORGE 18200 VON KARMAN SUITE 1000 IRVINE, CA 92612 |
X | CEO |
//John D. Ireland, Attorney in Fact | 08/29/2006 | |
**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) | Reporting person indirectly owns 130,000 shares through his spouse as previously reported. |
(2) | Not applicable. |
(3) | Reporting person indirectly owns through spouse 76,187 derivative securities (NQ stock options) as previously reported. |
(4) | In an exempt disposition under Rule 16b-3(e), the reporting person remitted shares to the issuer in connection with the satisfaction of withholding tax obligations arising out of the lifting of restrictions on previously reported 5/20/2003 restricted stock grant. |
Remarks: Remarks: Due to an administrative error, the information contained herein concerning the shares withheld for satisfaction of withholding tax obligations arising out of the lifting of restrictions on the previously reported May 20, 2003 restricted stock grant was not reported on an original Form 4. This Form 4/A amends the original Form 4 filed on July 28, 2006 to reflect the withholding of those shares by the Company and to correct the Amount of Securities Beneficially Owned by Mr. Klaus following the recording of such withheld shares. No open market transactions of Epicor stock by Mr. Klaus are reported on this Form 4/A. |