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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 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 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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GAREN ERIC R 400 North Continental Boulevard Suite 200 El Segundo, CA 90245 |
X | X | Vice Chairman of the Board |
/s/ Theodore E. Guth by P/A for Eric R. Garen | 08/25/2006 | |
**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 sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan entered into by the reporting person as of May 10, 2004, and amended as of March 7, 2006. |
(2) | 60 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 30 shares sold by the Garen Dynasty Trust, 105 shares sold by the Nicole Suzanne Garen Family Trust, 105 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(3) | See Footnote 14 for explanation of ownership. |
(4) | 20 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 10 shares sold by the Garen Dynasty Trust, 35 shares sold by the Nicole Suzanne Garen Family Trust, 35 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(5) | 40 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 20 shares sold by the Garen Dynasty Trust, 70 shares sold by the Nicole Suzanne Garen Family Trust, 70 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(6) | 160 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 80 shares sold by the Garen Dynasty Trust, 280 shares sold by the Nicole Suzanne Garen Family Trust, 280 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(7) | 180 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 90 shares sold by the Garen Dynasty Trust, 315 shares sold by the Nicole Suzanne Garen Family Trust, 315 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(8) | 140 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 70 shares sold by the Garen Dynasty Trust, 245 shares sold by the Nicole Suzanne Garen Family Trust, 245 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(9) | 420 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 210 shares sold by the Garen Dynasty Trust, 735 shares sold by the Nicole Suzanne Garen Family Trust, 735 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(10) | 120 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 60 shares sold by the Garen Dynasty Trust, 210 shares sold by the Nicole Suzanne Garen Family Trust, 210 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(11) | 100 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 50 shares sold by the Garen Dynasty Trust, 175 shares sold by the Nicole Suzanne Garen Family Trust, 175 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(12) | 260 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 130 shares sold by the Garen Dynasty Trust, 455 shares sold by the Nicole Suzanne Garen Family Trust, 455 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(13) | 440 shares sold by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person is a trustee and disclaims beneficial ownership; 220 shares sold by the Garen Dynasty Trust, 770 shares sold by the Nicole Suzanne Garen Family Trust, 770 shares sold by the Steven Robert Garen Family Trust, each an irrevocable trust established by the reporting person and his spouse f/b/o their children. |
(14) | Ownership INCLUDES: 876,268 shares held by the Garen Family Trust of which the reporting person and spouse are co-trustees; 414,520 shares held by each of the Eric Garen 2005 Annuity Trust and the Nancy Garen 2005 Annuity Trust; 234,139 shares held by each of the Eric Garen 2006 Annuity Trust and the Nancy Garen 2006 Annuity Trust; 62,174 shares held by the Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the reporting person and spouse are co-trustees and disclaim beneficial ownership. EXCLUDES aggregate of 1,149,945 shares held by certain trusts ("Trusts") established by the reporting person and spouse f/b/o their children: 155,359 shares held by the Garen Dynasty Trust, an irrevocable DE trust, 497,293 shares held by the Nicole Suzanne Garen Family Trust & 497,293 shares held by the Steven Robert Garen Family Trust, each an irrevocable CA trust. The reporting person disclaims beneficial ownership of all shares owned by the Trusts. |