1
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NAMES OF REPORTING PERSONS
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I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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Norman H. Pessin
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
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☑
|
||
(b)
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☐
|
||||
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||||
3
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SEC USE ONLY
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4
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SOURCE OF FUNDS (SEE INSTRUCTIONS)
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PF
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|||
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||||
5
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CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
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☐
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||
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||||
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6
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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7
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SOLE VOTING POWER
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579,730
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8
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SHARED VOTING POWER
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9
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SOLE DISPOSITIVE POWER
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579,730
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10
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SHARED DISPOSITIVE POWER
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11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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579,730
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12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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|
☐
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||||
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13
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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1) 11.5%
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14
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TYPE OF REPORTING PERSON
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IN
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|||
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1
|
NAMES OF REPORTING PERSONS
|
|
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||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
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|||
Sandra F. Pessin
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|||
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|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
PF
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
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|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
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23,109
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|||
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||||
8
|
SHARED VOTING POWER
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|||
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|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
23,109
|
|
|
|||
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|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
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||
|
|
|
|||
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|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
23,109
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.4%
|
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|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
|
||
IN
|
|
|
|||
|
|
1
|
NAMES OF REPORTING PERSONS
|
|
|
||
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
|
|
|||
Brian Pessin
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS (SEE INSTRUCTIONS)
|
|
|
||
PF
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
139,350
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
139,350
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
139,350
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
2.7%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON
|
|
|
||
IN
|
|
|
|||
|
|
Item 1. | Security and Issuer |
Item 2. | Identity and Background |
Name and Address:
|
1)
|
Norman H. Pessin
|
366 Madison Avenue, 14th Floor
|
||
New York, NY 10017
|
||
2)
|
Sandra F. Pessin
|
|
366 Madison Avenue, 14th Floor
|
||
New York, NY 10017
|
||
3)
|
Brian Pessin
|
|
310 East 75th Street, Apt. 2A
|
||
New York, NY 10021
|
||
Principal Occupation:
|
1)
|
Investor
|
2)
|
Housewife
|
|
3)
|
Investor
|
|
Criminal Convictions:
|
1)
|
None
|
2)
|
None
|
|
3)
|
None
|
|
Civil Proceedings:
|
1)
|
None
|
2)
|
None
|
|
3)
|
None
|
|
Citizenship:
|
1)
|
United States
|
2)
|
United States
|
|
3)
|
United States
|
Item 3. | Source and Amount of Funds or Other Consideration |
Item 4. | Purpose of Transaction |
Item 5. | Interest in Securities of the Issuer |
Item 6.
|
Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer
|
Item 7.
|
Material to Be Filed as Exhibits
|
/s/ Norman H. Pessin
|
||
Norman H. Pessin
|
/s/ Sandra F. Pessin
|
||
Sandra F. Pessin
|
/s/ Brian Pessin
|
||
Brian Pessin
|
Shares of Common Stock Bought
|
Price Per Share ($)
|
Date of Purchase
|
||
Norman H. Pessin
|
||||
13,411
|
2.98
|
1/7/16
|
||
10,100
|
3.00
|
1/8/16
|
||
7,907
|
2.98
|
1/11/16
|
||
1,400
|
3.01
|
1/12/16
|
||
11,600
|
2.99
|
1/13/16
|
||
1,662
|
3.00
|
1/15/16
|
||
21,159
|
3.00
|
1/19/16
|
||
11,000
|
2.99
|
1/20/16
|