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TBSI » Topics » SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS

This excerpt taken from the TBSI DEF 14A filed Apr 30, 2009.

SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS

     To the Company’s knowledge, the following individuals and institutions were beneficial owners of 5% or more of the outstanding common shares on December 31, 2008, unless otherwise noted.

      Common Shares Beneficially Owned
Name Class A (1)            %            Class B            %     
The Vanguard Group, Inc. (2) 1,673,136 9.6 - -
Elaine M. Royce (3)   1,588,914 9.1 3,062,544 24.7
Vanguard Horizon Funds – Vanguard Strategic        
     Equity Fund (4) 1,238,603 7.1 - -
Treetops Holdings, LLC (5) 684,890 3.9 1,327,200 10.7
Alkis N. Meimaris (6) 210,200 1.2 609,888   4.9
____________________
 
(1)     Class A common shares beneficially owned does not include Class A common shares that may be acquired upon conversion of Class B common shares. Class B common shares currently are convertible into Class A common shares on a one-for-one basis at any time and have no expiration date.
 
(2) Based on information contained in a Schedule 13G/A filed on February 13, 2009, by The Vanguard Group, Inc. (“Vanguard”), Vanguard has sole voting power relative to 13,602 Class A common shares and sole dispositive power relative to 1,673,136 Class A common shares. The address for Vanguard is 100 Vanguard Boulevard, Malvern, PA 19355.
 
2009 Proxy Statement 24  


(3)     Based on information contained in a Schedule 13G/A filed on February 17, 2009, by Elaine M. Royce, as well as information provided to the Company by Mrs. Royce. Mrs. Royce shares voting power and dispositive power with her husband, Mr. Joseph E. Royce, and these shares are shown as beneficially owned by Mr. Royce under “Security Ownership of Directors, Director Nominees and Management.” Common shares beneficially owned include 1,107,322 Class B common shares held directly by Mrs. Royce, 1,408,436 Class B common shares held by the Elaine M. Royce 2006 Qualified GRAT, and 1,446,208 Class A and 546,786 Class B common shares held by the Elaine Royce 2005 Irrevocable Trust. The address for Mrs. Royce is c/o Joseph E. Royce, 612 East Grassy Sprain Road, Yonkers, NY 10710.
 
(4) Based on information contained in a Schedule 13G/A filed on February 13, 2009, by Vanguard Horizon Funds – Vanguard Strategic Equity Fund (“Vanguard Funds”), Vanguard Funds has sole voting power relative to 1,238,603 Class A common shares. The address for Vanguard Funds is 100 Vanguard Boulevard, Malvern, PA 19355.
 
(5) Based on information contained in the Schedule 13G filed on February 14, 2006, by Treetops Holdings LLC (“Treetops”) and Tara C. DeMakes, as manager of Treetops. Treetops is jointly owned by The Jeanine Royce 1997 Trust and The Laura Royce 1997 Trust. The trustee for each of the Royce Trusts is Deutsche Bank Trust Company Delaware. Deutsche Bank Trust Company Delaware has voting and investment control over the shares indirectly owned by the Royce Trusts. Ms. DeMakes disclaims beneficial ownership of the shares held by Treetops. The address for Treetops is care of Tara C. DeMakes, 612 East Grassy Sprain Road, Yonkers, NY 10710.
 
(6) Based on information contained in a Schedule 13G/A filed on February 13, 2009, by Alkis N. Meimaris, as well as information provided to the Company by Mr. Meimaris. Mr. Meimaris has sole voting power and sole dispositive power relative to his 210,200 Class A common shares and 609,888 Class B common shares. The address for Mr. Meimaris is 9708 Erica Court, Boca Raton, FL 33496.
This excerpt taken from the TBSI DEF 14A filed Apr 29, 2008.

Security Ownership of Certain Beneficial Owners

To the Company’s knowledge, the following individuals and institutions were beneficial owners of 5% or more of the outstanding common shares on December 31, 2007, unless otherwise noted.

Common Shares Beneficially Owned
Name      Class A      %      Class B      %
Treetops Holdings LLC (1)   684,890   4.7% 1,327,200   9.9%
Goldman Sachs Asset Management LP (2) 979,985 6.8%   - -
Alkis N. Meimaris (3) 299,600 2.1% 609,888 4.5%

(1)       Based on information contained in the Schedule 13G filed on February 14, 2006, by Treetops Holdings LLC and Tara C. DeMakes as managing member of Treetops Holdings LLC. Includes 684,890 Class A and 1,327,200 Class B common shares held by Treetops. Mrs. DeMakes is a co-trustee of each of the Royce Trusts and has voting power, but not investment power, over the shares they indirectly own through Treetops. Mrs. DeMakes is also manager of Treetops. Mrs. DeMakes disclaims beneficial ownership of the shares indirectly owned by the Royce 1997 Trusts and the shares held by Treetops. The address for Treetops Holdings LLC is care of TBS Shipping Services Inc., 612 East Grassy Sprain Road, Yonkers, NY 10710.
 
(2) Based on information contained in a Schedule 13G filed on February 1, 2008, by Goldman Sachs Asset Management LP (“Goldman”), Goldman has sole voting power relative to 770,712 Class A shares and sole dispositive power relative to 946,885 Class A shares. The address for Goldman is 32 Old Slip, New York, NY 10005.
 
(3) Based on information contained in an amendment to Schedule 13G and reflecting the Company’s knowledge of a subsequent sale of 50,000 Class A common shares made in April 2008. The address for Alkis N. Meimaris is 9708 Erica Court, Boca Raton, FL 33496.

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EXCERPTS ON THIS PAGE:

DEF 14A
Apr 30, 2009
DEF 14A
Apr 29, 2008

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