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

This excerpt taken from the DFZ DEF 14A filed Sep 23, 2009.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), requires that the Company’s directors and executive officers and greater-than-10% beneficial owners of the Company’s common shares file reports with the SEC reporting their initial beneficial ownership of common shares and any subsequent changes in their beneficial ownership. Specific due dates for such reports have been established by the SEC and the Company is required to disclose in this Proxy Statement any late report or known failure to file a required report. To the Company’s knowledge, based solely upon a review of the reports furnished to the Company and written representations that no other reports were required, the Company believes that during fiscal 2009, all Section 16(a) filing requirements applicable to officers, directors and greater-than-10% beneficial owners of the Company’s outstanding common shares were complied with except: (a) Gordon Zacks reported late, in his Form 5 for fiscal 2009, a gift of 14,011 common shares of the Company he made on October 17, 2007; (b) Greg Tunney filed late his Form 4 reporting the award of RSUs covering 51,246 common shares made to him by the Company on November 5, 2008; and (c) Doug Yannucci failed to include 283 common shares he beneficially owned on May 7, 2009, the date on which he became an executive officer of the Company, in his initial Form 3 and reported these common shares in his Form 5 for fiscal 2009.
 
This excerpt taken from the DFZ DEF 14A filed Sep 22, 2008.
Section 16(a) Beneficial Ownership Reporting Compliance
 
To the Company’s knowledge, based solely upon a review of the forms furnished to the Company and written representations that no other forms were required, during fiscal 2008, all filing requirements applicable to officers, directors and greater than 10% beneficial owners of the Company under Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), were complied with.
 
This excerpt taken from the DFZ DEF 14A filed Oct 9, 2007.
Section 16(a) Beneficial Ownership Reporting Compliance
 
To the Company’s knowledge, based solely upon a review of the forms furnished to the Company and written representations that no other forms were required, during the 2007 fiscal year, all filing requirements applicable to officers, directors and greater than 10% beneficial owners of the Company under Section 16(a) of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), were complied with, except that each of Thomas Konecki and Glenn Evans filed one late Form 3 reporting his ownership of equity securities upon becoming an executive officer of the Company.
 
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