UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Boyer Mark Thomas 300 DRAKES LANDING ROAD SUITE 175 GREENBRAE, CA 94904 |
X |
Mark T. Boyer | 07/06/2004 | |
**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) | Nothing in this filing shall be deemed an admission that Mr. Boyer is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities covered by this statement. |
(2) | Mr. Boyer is an owner of ROI Capital Management, Inc. (ROI) an investment advisor registered under Section 203 of the Investment Advisers Act of 1940 which may be entitled to receive a portion of the realized or unrealized gains potentially created by some of the reported stock which is held in client portfolios. Part of the reported shares are held in an investment limited partnership of which ROI if the general partner and Mr. Boyer a limited partner. None of the reported shares were acquired with the purpose or effect of changing or influencing control of the issuer. |