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, 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. | 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 | ||||
Series C Mandatorily Redeemable Convertible Preferred Stock | Â (1) | Â (2) | Common Stock | 7,709,250 | $ (3) | D (4) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Shamrock Capital Growth Fund II L P C/O SHAMROCK CAPITAL ADVISORS, INC. 4444 W. LAKESIDE DRIVE BURBANK, CA 91505 |
 X |  X |  |  |
Shamrock Capital Partners II, LLC C/O SHAMROCK CAPITAL ADVISORS, INC. 4444 W. LAKESIDE DRIVE BURBANK, CA 91505 |
 X |  X |  |  |
ROYER STEPHEN D C/O SHAMROCK CAPITAL ADVISORS, INC. 4444 W. LAKESIDE DRIVE BURBANK, CA 91505 |
 X |  X |  |  |
GOLD STANLEY P C/O SHAMROCK CAPITAL ADVISORS, INC. 4444 W. LAKESIDE DRIVE BURBANK, CA 91505 |
 X |  X |  |  |
/s/ Stephen D. Royer | 07/15/2010 | |
**Signature of Reporting Person | Date | |
/s/ Stanley P. Gold | 07/15/2010 | |
**Signature of Reporting Person | Date | |
SHAMROCK CAPITAL GROWTH FUND II, L.P. By: Shamrock Capital Partners II, L.L.C., its General Partner By: /s/ Steven D. Royer Name: Stephen D. Royer Title: Member of the Board of Managers | 07/15/2010 | |
**Signature of Reporting Person | Date | |
SHAMROCK CAPITAL PARTNERS II, L.L.C. By: /s/ Steven D. Royer Name: Stephen D. Royer Title: Member of the Board of Managers | 07/15/2010 | |
**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) | These securities are convertible immediately. |
(2) | These shares do not have an expiration date. |
(3) | The Issuer's Series C Mandatorily Redeemable Convertible Preferred Stock (the "Series C Preferred") is convertible into shares of its Common Stock (the "Common Stock") at a conversion rate of 1.5 shares of Common Stock per share of Series C Preferred Stock, which reflects the 1-for-1.5 forward stock split of the Common Stock that was effected by the Issuer on June 28, 2010. The Reporting Persons currently have 5,139,500 shares of Series C Preferred Stock outstanding which will automatically convert into 7,709,250 shares of Common Stock upon the closing of the Issuer's qualified initial public offering, as defined in the Issuer's certificate of incorporation, as amended through the date hereof. |
(4) | Shamrock Capital Partners II, L.L.C ("SCP II") is the General Partner of the Shamrock Capital Growth Fund II, L.P. ("SCGF II"). Stephen D. Royer is the Executive Vice President of SCGF II. Stephen D. Royer and Stanley P. Gold are the members of the Board of Managers of SCP II. Each of SCP II, Stephen D. Royer and Stanley P. Gold may be deemed, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended ("Section 16"), to be the indirect beneficial owner of the Series C Preferred Stock which are the subject of this report (collectively, the "Issuer Securities") and a "ten percent holder" thereunder. Each of SCP II, Stephen D. Royer and Stanley P. Gold disclaims beneficial ownership of the Issuer Securities except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that Stephen D. Royer or Stanley P. Gold is the beneficial owner of such securities for purposes of Section 16 or any other purpose. |
 Remarks: Stephen D. Royer is a director of the Issuer and each of SCP II and SCGF II may be deemed a director of the Issuer by virtue of their relationship with Stephen D. Royer.  This report is being jointly filed by Stephen D. Royer, Stanley P. Gold, SCP II and SCGF II. |