SRZ » Topics » SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE

This excerpt taken from the SRZ DEF 14A filed Oct 19, 2009.
SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE
 
Section 16(a) of the Securities Exchange Act of 1934, as amended, requires Sunrise directors, executive officers and beneficial owners of more than 10% of Sunrise’s outstanding equity securities to file with the SEC initial reports of ownership of Sunrise’s equity securities and to file subsequent reports when there are changes in such ownership. Company directors, executive officers and stockholders are required by SEC regulations to furnish the Company with copies of all Section 16(a) forms they file. Based on a review of the copies of such reports furnished to Sunrise, the Company believes that, except as set forth below, all Section 16(a) filing requirements for the fiscal year ended December 31, 2008 applicable to such persons were complied with on a timely basis. The Company filed a Form 4 one day late on behalf of Paul J. Klaassen and Teresa M. Klaassen covering the surrender to the Company for cancellation on March 6, 2008 of certain equity awards made to Mr. Klaassen for the years 2003 through 2005 and the Company filed a Form 4 late on behalf of Mr. Donohue covering the extension of the option exercise period of an option for 20,000 shares as described above in footnote 4 to the 2008 Director Compensation Table. Mr. Donohue’s Form 4 was filed on April 30, 2009 promptly following discovery by the Company that the Form 4 had not been previously filed. The due date for the Form 4 was October 10, 2008. The Company also filed one day late an initial statement of beneficial ownership of securities on Form 3 on behalf of Mr. Neeb, who became our chief investment officer on December 18, 2008. Mr. Neeb’s Form 3 reported ownership of the option granted to him on December 23, 2008, the grant of which should have been reported on a Form 4. Mr. Schwartz’s initial statement of beneficial ownership of securities on Form 3 was timely filed. His Form 3 also reported ownership of the option granted to him on December 23, 2008, the grant of which should have been reported on a Form 4.


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SECTION 16(a) BENEFICIAL OWNERSHIP REPORTING COMPLIANCE
 
Section 16(a) of the Securities Exchange Act of 1934, as amended, requires Sunrise directors, executive officers and beneficial owners of more than 10% of Sunrise’s outstanding equity securities to file with the SEC initial reports of ownership of Sunrise’s equity securities and to file subsequent reports when there are changes in such ownership. Company directors, executive officers and shareholders are required by SEC regulations to furnish the Company with copies of all Section 16(a) forms they file. Based on a review of the copies of such reports furnished to Sunrise, the Company believes that all Section 16(a) filing requirements for the fiscal year ended December 31, 2007 applicable to such persons were complied with on a timely basis, except that Mr. Aprahamian filed a Form 4 late covering two transactions.


71


 

Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934, as amended, requires Sunrise directors, executive officers and beneficial owners of more than 10% of Sunrise’s outstanding equity securities to file with the SEC initial reports of ownership of Sunrise’s equity securities and to file subsequent reports when there are changes in such ownership. Company directors, executive officers and shareholders are required by SEC regulations to furnish the Company with copies of all Section 16(a) forms they file. Based on a review of the copies of such reports furnished to Sunrise, the Company believes that all Section 16(a) filing requirements for the fiscal year ended December 31, 2007 applicable to such persons were complied with on a timely basis, except that Mr. Aprahamian filed a Form 4 late covering two transactions.


225


 

Item 11.  Executive Compensation
 
Section 16(a)
Beneficial Ownership Reporting Compliance



 



Section 16(a) of the Securities Exchange Act of 1934, as
amended, requires Sunrise directors, executive officers and
beneficial owners of more than 10% of Sunrise’s outstanding
equity securities to file with the SEC initial reports of
ownership of Sunrise’s equity securities and to file
subsequent reports when there are changes in such ownership.
Company directors, executive officers and shareholders are
required by SEC regulations to furnish the Company with copies
of all Section 16(a) forms they file. Based on a review of
the copies of such reports furnished to Sunrise, the Company
believes that all Section 16(a) filing requirements for the
fiscal year ended December 31, 2007 applicable to such
persons were complied with on a timely basis, except that
Mr. Aprahamian filed a Form 4 late covering two
transactions.





225





 


















Item 11. 

Executive
Compensation



 




These excerpts taken from the SRZ 10-K filed Mar 24, 2008.
Section 16(a) Beneficial Ownership Reporting Compliance
 
Section 16(a) of the Securities Exchange Act of 1934, as amended, requires Sunrise directors, executive officers and beneficial owners of more than 10% of Sunrise’s outstanding equity securities to file with the SEC initial reports of ownership of Sunrise’s equity securities and to file subsequent reports when there are changes in such ownership. Company directors, executive officers and shareholders are required by SEC regulations to furnish the Company with copies of all Section 16(a) forms they file. Based on a review of the copies of such reports furnished to Sunrise, the Company believes that, except as set forth below, all Section 16(a) filing requirements for the fiscal year ended December 31, 2006 applicable to such persons were complied with on a timely basis. Paul J. and Teresa M. Klaassen filed a Form 4 on January 8, 2008, which included the late reporting of a gift of 29,500 shares on December 22, 2006.
 
Item 11.  Executive Compensation
 
Section 16(a)
Beneficial Ownership Reporting Compliance



 



Section 16(a) of the Securities Exchange Act of 1934, as
amended, requires Sunrise directors, executive officers and
beneficial owners of more than 10% of Sunrise’s outstanding
equity securities to file with the SEC initial reports of
ownership of Sunrise’s equity securities and to file
subsequent reports when there are changes in such ownership.
Company directors, executive officers and shareholders are
required by SEC regulations to furnish the Company with copies
of all Section 16(a) forms they file. Based on a review of
the copies of such reports furnished to Sunrise, the Company
believes that, except as set forth below, all Section 16(a)
filing requirements for the fiscal year ended December 31,
2006 applicable to such persons were complied with on a timely
basis. Paul J. and Teresa M. Klaassen filed a Form 4 on
January 8, 2008, which included the late reporting of a
gift of 29,500 shares on December 22, 2006.


 















Item 11. 

Executive
Compensation



 




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