0001181431-13-003021.txt : 20130111 0001181431-13-003021.hdr.sgml : 20130111 20130111204958 ACCESSION NUMBER: 0001181431-13-003021 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120514 FILED AS OF DATE: 20130111 DATE AS OF CHANGE: 20130111 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GAREN ERIC R CENTRAL INDEX KEY: 0001024643 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-27248 FILM NUMBER: 13526413 MAIL ADDRESS: STREET 1: 1805 LIBRARY STREET STREET 2: SUITE 300 CITY: RESTON STATE: VA ZIP: 20190 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LEARNING TREE INTERNATIONAL INC CENTRAL INDEX KEY: 0001002037 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-EDUCATIONAL SERVICES [8200] IRS NUMBER: 953133814 STATE OF INCORPORATION: DE FISCAL YEAR END: 0928 BUSINESS ADDRESS: STREET 1: 1805 LIBRARY STREET CITY: RESTON STATE: VA ZIP: 20190 BUSINESS PHONE: 7037099119 MAIL ADDRESS: STREET 1: 1805 LIBRARY STREET CITY: RESTON STATE: VA ZIP: 20190 4/A 1 rrd366654.xml FORM 4/A X0306 4/A 2012-05-14 2012-03-15 0 0001002037 LEARNING TREE INTERNATIONAL INC LTRE 0001024643 GAREN ERIC R C/O LEARNING TREE INTERNATIONAL, INC. 1805 LIBRARY STREET, #300 RESTON VA 20190 1 0 1 0 Common Stock 2012-05-14 4 G 0 213000 0 D 3300105 I See footnotes Common Stock 2012-05-14 4 G 0 213000 0 D 3300105 I See footnotes Common Stock 2012-06-04 4 G 0 812958 0 D 3300105 I See footnotes Common Stock 2012-06-04 4 G 0 812958 0 D 3300105 I See footnotes Common Stock 2012-08-16 4 G 0 780000 0 D 3300105 I See footnotes Common Stock 2012-08-16 4 G 0 780000 0 D 3300105 I See footnotes Reflects a change in the form of beneficial ownership of 213,000 shares which are being transferred as follows: 106,500 shares to the Garen Family Trust from the Eric R. Garen 2011 Annuity Trust #1 and 106,500 to the Garen Family Trust from the Nancy Garen 2011 Annuity Trust #1. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 410,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (Continued in footnote 2) (iv) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (v) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vi) 496,033 shares held by the Steven Robert Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (vi) 213,000 shares held by the Garen Family Trust. The transfer reported on the reporting person's Form 4 dated March 14, 2012 were not finalized until June 4, 2012. Reflects a change in the form of beneficial ownership of 812, 958 shares which are being transferred as follows: 25,000 shares from Eric R. Garen to the Eric R. Garen 2009 Annuity Trust #3, 25,000 shares from Nancy Garen to the Nancy Garen 2009 Annuity Trust #3, 418,979 shares from Nancy Garen to Garen Capital Partners, a family partnership, and 343,979 shares to the Garen Capital Partners, a family partnership. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 410,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 25,000 shares held by each of the Eric R. Garen 2009 Annuity Trust #3 and the Nancy Garen 2009 Annuity Trust #3; (Continued in footnote 5) (iv) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (v) 762,958 shares held by Garen Capital Partners, a family partnership; (vi) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vii) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (viii) 496,033 shares held by the Steven Robert Garen Family Trust an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (ix) 213,000 shares held by the Garen Family Trust. Reflects a change in the form of beneficial ownership of 780,000 shares which are being transferred as follows: 390,000 shares to the Garen Family Trust from the Eric R. Garen 2011 Annuity Trust #2 and 390,000 to the Garen Family Trust from the Nancy Garen 2011 Annuity Trust #2. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 20,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 25,000 shares held by each of the Eric R. Garen 2009 Annuity Trust #3 and the Nancy Garen 2009 Annuity Trust #3; (Continued in footnote 7) (iv) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (v) 762,958 shares held by Garen Capital Partners, a family partnership; (vi) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vii) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (viii) 496,033 shares held by the Steven Robert Garen Family Trust an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (ix) 993,000 shares held by the Garen Family Trust. /s/ Eric R. Garen. 2013-01-10