01/23/2025 | Press release | Distributed by Public on 01/23/2025 18:48
FORM 5
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Title of Derivate Security | 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 | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security | 8. Price of Derivative Security | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) | 11. Nature of Indirect Beneficial Ownership |
(A) | (D) | Date Exercisable | Expriation Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
STROME MARK E C/O STROME GROUP, INC. 13535 VENTURA BLVD., STE C-525 SHERMAN OAKS, CA91423 |
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STROME INVESTMENT MANAGEMENT LP C/O STROME GROUP, INC. 13535 VENTURA BLVD., STE C-525 SHERMAN OAKS, CA91423 |
Affiliate of 10% Owner | |||
STROME GROUP, INC. 13535 VENTURA BLVD., STE C-525 SHERMAN OAKS, CA91423 |
Affiliate of 10% Owner |
/s/ Mark E. Strome | 2025-01-23 |
**Signature of Reporting Person | Date |
/s/ Mark E. Strome, as President of General Partner, on behalf of Strome Investment Management, LP | 2025-01-23 |
**Signature of Reporting Person | Date |
/s/ Mark E. Strome, as President of General Partner, on behalf of Strome Group, Inc. | 2025-01-23 |
**Signature of Reporting Person | Date |
(*) | If the form is filed by more than one reporting person, see Instruction 5(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 reported securities are owned directly by Strome Mezzanine Fund II, LP ("SMF II). |
(2) | Strome Investment Management, LP is the general partner of SMF II. Strome Group, Inc. is the general partner of Strome Investment Management, LP. Mark E. Strome is the President and CEO of Strome Group, Inc. Mr. Strome, Strome Investment Management, LP and Strome Group, Inc. (together, the "Reporting Persons") may be deemed to share voting and investment power for and to beneficially own the shares held by SMF under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). |
(3) | Pursuant to Rule 16a-1(a)(4) of the Exchange Act, this filing shall not be deemed an admission that the Reporting Persons are, for purposes of Section 16 of the Exchange Act or otherwise, the beneficial owner of any equity securities reported herein. |