ASGR » Topics » Section 16(a) Beneficial Ownership Reporting Compliance

This excerpt taken from the ASGR DEF 14A filed Apr 30, 2009.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Exchange Act requires our officers and directors, and persons who own more than ten percent of a registered class of our equity securities, to file reports of ownership and changes in ownership on Forms 3, 4 and 5 with the SEC. Officers, directors and greater than ten percent stockholders are required by law to furnish us copies of all Forms 3, 4 and 5 they file. Based solely on our review of the copies of such forms we have received and representations from certain reporting persons that they were not required to file Form 5s for specified fiscal years, we believe that our officers, directors and greater than ten percent beneficial owners complied with all filing requirements applicable to them with respect to transactions during 2008, except as noted below.
 
One late Form 4 was filed by Michael Catalano, the Company’s former CEO, on September 26, 2008 to report the amendment of his outstanding options in connection with his separation from the Company as discussed further in the section titled, “Proposal One: Election of Directors — Information as to Directors, Nominees and Executive Officers.”
 
This excerpt taken from the ASGR DEF 14A filed Apr 29, 2008.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Exchange Act requires our officers and directors, and persons who own more than ten percent of a registered class of our equity securities, to file reports of ownership and changes in ownership on Forms 3, 4 and 5 with the SEC. Officers, directors and greater than ten percent stockholders are required by law to furnish us copies of all Forms 3, 4 and 5 they file. Based solely on our review of the copies of such forms we have received and representations from certain reporting persons that they were not required to file Form 5s for specified fiscal years, we believe that our officers, directors and greater than ten percent beneficial owners complied with all filing requirements applicable to them with respect to transactions during 2007.
 
This excerpt taken from the ASGR DEF 14A filed Apr 25, 2007.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Exchange Act requires our officers and directors, and persons who own more than ten percent of a registered class of our equity securities, to file reports of ownership and changes in ownership on Forms 3, 4 and 5 with the SEC. Officers, directors and greater than ten percent stockholders are required by law to furnish us copies of all Forms 3, 4 and 5 they file. Based solely on our review of the copies of such forms we have received and representations from certain reporting persons that they were not required to file Form 5s for specified fiscal years, we believe that our officers, directors and greater than ten percent beneficial owners complied with all filing requirements applicable to them with respect to transactions during 2006, except as noted below.
 
One late Form 4 was filed by William E. Hale, a director, on March 7, 2007 to report the acquisition of 1,150 shares of common stock, of which 330 shares are held indirectly, on December 29, 2006.
 
This excerpt taken from the ASGR DEF 14A filed Apr 28, 2006.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Exchange Act requires our officers and directors, and persons who own more than ten percent of a registered class of our equity securities, to file reports of ownership and changes in ownership on Forms 3, 4 and 5 with the SEC. Officers, directors and greater than ten percent stockholders are required by law to furnish us copies of all Forms 3, 4 and 5 they file. Based solely on our review of the copies of such forms we have received and representations from certain reporting persons that they were not required to file Form 5s for specified fiscal years, we believe that our officers, directors and greater than ten percent beneficial owners complied with all filing requirements applicable to them with respect to transactions during 2005, except as noted below.
 
One late Form 5 was filed by Burton C. Einspruch, a director, on April 25, 2006 to report the disposition, in the form of three gifts, of a cumulative total of 350 shares of common stock on September 26, 2005.
 
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