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

This excerpt taken from the WTI DEF 14A filed Apr 9, 2008.

Section 16(a) Beneficial Ownership Reporting Compliance

Section 16(a) of the Exchange Act requires our directors and executive officers and beneficial owners of more than 10% of our common stock to file with the SEC initial reports of ownership and reports of changes in ownership of our common stock. SEC rules require these persons to furnish us copies of all Section 16(a) reports they file. To our knowledge, based solely on a review of the copies of such reports furnished to us during 2007 and written representations that no other reports were required with respect to 2007, these persons complied with applicable Section 16(a) filing requirements, except: (i) each of Stuart B. Katz, S. James Nelson, Jr. and Virginia Boulet, directors, filed a Form 4 on May 31, 2007 that was due May 15, 2007 for a transaction with respect to a grant of 1,463 shares of restricted stock; (ii) John D. Gibbons, an officer, filed the Form 4 late for one transaction involving the disposition of 571 shares of common stock; (iii) Stephen L. Schroeder, an officer, filed the Form 4 late for one transaction involving the disposition of 945 shares of common stock ; and (iv) W. Reid Lea, an officer, filed the Form 4 late for one transaction involving the disposition of 2,140 shares of common stock. Each of the identified officers filed a Form 4 for the above transactions on February 12, 2008 that was due December 31, 2007 and involved the disposition of shares of common stock to satisfy tax withholding obligations. In addition, the Company filed a Form 3 for Robert I. Israel on March 27, 2008, which should have been filed on May 25, 2007, ten days after he was elected to the Board.

 

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This excerpt taken from the WTI DEF 14A filed Apr 17, 2007.

Section 16(a) Beneficial Ownership Reporting Compliance

 

Based on a review of filings with the SEC, the Company believes that during the fiscal year ended December 31, 2006, all of its officers and directors timely complied with the reporting requirements of Section 16(a) of the Securities Exchange Act of 1934.

 

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This excerpt taken from the WTI DEF 14A filed Apr 6, 2006.

Section 16(a) Beneficial Ownership Reporting Compliance

 

Based solely on a review of their Form 3, 4 and 5 filings with the SEC, and amendments thereto, the Company believes that during the fiscal year ended December 31, 2005, all of its officers and directors timely complied with the reporting requirements of Section 16(a) of the Securities Exchange Act of 1934, except for Joseph P. Slattery and William W. Talafuse, each of whom inadvertently filed two reports late.

 

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This excerpt taken from the WTI DEF 14A filed Apr 26, 2005.

Section 16(a) Beneficial Ownership Reporting Compliance

 

Based on a review of filings with the SEC, the Company believes that all of its officers and directors are in full compliance with the reporting requirements of Section 16(a) of the Securities Exchange Act of 1934.

 

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