| FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). | ||||||||||||||||||||
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
Oak Ridge Financial Services, Inc. [ BKOR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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| 3. Date of Earliest Transaction
(Month/Day/Year) 11/23/2009 |
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| 4. If Amendment, Date of Original Filed
(Month/Day/Year) 05/28/2009 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
| Code | V | Amount | (A) or (D) | Price | ||||||
| Common Stock | 1,000 | I | Wife's IRA | |||||||
| Common Stpock | 1,250 | I | Wife as Custodial for Son | |||||||
| Common Stock | 1,250 | D | ||||||||
| Common Stock | 11/23/2009 | P | 900 | A | $5.5 | 31,345 (2) | I | IRA | ||
| Common Stock | 11/23/2009 | P | 100 | A | $5.59 | 31,445 (3) | I | IRA | ||
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities) |
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| 1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
| Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
| Stock Option | $8.8 (1) | 12/20/2005 | 04/30/2011 | Common Stock | 6,723 (1) | 6,723 | D | ||||||||
| Stock Option | $10.4 (1) | 12/20/2005 | 08/19/2013 | Common Stock | 3,438 (1) | 10,161 | D | ||||||||
| Stock Option | $10 (1) | 12/20/2005 | 08/18/2014 | Common Stock | 8,750 (1) | 18,911 | D | ||||||||
| Stock Option | $11.2 | 12/20/2005 | 12/20/2015 | Common Stock | 2,704 (1) | 21,615 | D | ||||||||
| Explanation of Responses: |
| 1. As adjusted for stock dividend |
| 2. On the May 28, 2009 Form 4 filed by Dr. Boike, there was an error in addition. The total number of securities after the trasaction is 30,435 rather than the 30,635 recorded, resulting in the subsequent Form 4 filed by Dr. Boike on 11/23/2009 to be incorrect. Dr. Boike currently owns 31,445 shares of common stock. |
| 3. On the May 29, 2009 Form 4 filed by Dr. Boike, there was an error in the total number of securities after the trasaction due to an error in addition on the From 4 filed on 05/28/2005. The number reported should have been 30,445 rather than 30,645, resulting in the subsequent Form 4 filed by Dr. Boike on 11/23/2009 to be incorrect. Dr. Boike currently owns 31,445 shares of common stock. |
| /s/ Douglas Boike | 12/23/2009 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. | ||