Page 2 of 9 – SEC Filing
1 NAME OF
REPORTING PERSON
734 Investors, LLC
2 CHECK THE APPROPRIATE BOX IF A MEMBER
OF A GROUP
(a) ☐ (b) ☒
3 SEC USE ONLY
4 SOURCE OF FUNDS
Not applicable
5 CHECK BOX IF DISCLOSURE OF LEGAL
PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
☐
6 CITIZENSHIP OR PLACE OF
ORGANIZATION
Delaware
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
7 SOLE VOTING POWER
3,200,405 (1)
8 SHARED VOTING POWER
-0-
9 SOLE DISPOSITIVE POWER
3,200,405 (1)
10 SHARED DISPOSITIVE POWER
-0-
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,200,405 (1)
12 CHECK BOX IF THE AGGREGATE AMOUNT IN
ROW (11) EXCLUDES CERTAIN SHARES
☐
13 PERCENT OF CLASS REPRESENTED BY AMOUNT
IN ROW (11)
42.97%
(2)
14 TYPE OF REPORTING PERSON
OO (Limited Liability Company)
(1) Includes 20,000 shares of Common Stock owned by George R. Brokaw. Mr. Brokaw has entered into an agreement
with 734 Investors, LLC to vote these 20,000 shares as directed by 734 Investors, LLC. The agreement also restricts Mr. Brokaws ability to sell these 20,000 shares except pro rata with sales by 734 Investors, LLC. 734 Investors, LLC
disclaims beneficial ownership of these shares except to the extent of its pecuniary interest therein.
(2) The percentage of shares of Common Stock was determined using a denominator of 7,447,723 shares of Common Stock
outstanding calculated on the basis of 8,199,957 shares of Common Stock outstanding as of August 31, 2018, as per the Issuers Schedule TO, filed September 5, 2018, minus the 752,234 shares of Common Stock accepted for repurchase
pursuant to the tender offer, as disclosed in the Amendment No. 3 to Schedule TO filed by the Issuer on October 9, 2018.
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| 1 | NAME OF 734 Investors, LLC | |||||
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER (a) ☐ (b) ☒ | |||||
| 3 | SEC USE ONLY | |||||
| 4 | SOURCE OF FUNDS Not applicable | |||||
| 5 | CHECK BOX IF DISCLOSURE OF LEGAL ☐ | |||||
| 6 | CITIZENSHIP OR PLACE OF Delaware | |||||
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 7 | SOLE VOTING POWER 3,200,405 (1) | ||||
| 8 | SHARED VOTING POWER -0- | |||||
| 9 | SOLE DISPOSITIVE POWER 3,200,405 (1) | |||||
| 10 | SHARED DISPOSITIVE POWER -0- | |||||
| 11 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,200,405 (1) | |||||
| 12 | CHECK BOX IF THE AGGREGATE AMOUNT IN ☐ | |||||
| 13 | PERCENT OF CLASS REPRESENTED BY AMOUNT 42.97% | |||||
| 14 | TYPE OF REPORTING PERSON OO (Limited Liability Company) | |||||
| (1) | Includes 20,000 shares of Common Stock owned by George R. Brokaw. Mr. Brokaw has entered into an agreement |
| (2) | The percentage of shares of Common Stock was determined using a denominator of 7,447,723 shares of Common Stock |
