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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
IBS CAPITAL LLC ONE INTERNATIONAL PLACE 31ST FLOOR BOSTON, MA 02110 |
X |
IBS Capital LLC by David A. Taft, Manager | 07/03/2014 | |
**Signature of Reporting Person | Date | |
THe IBS Turnaround Fund (QP) (A Limited Partnership) by IBS Capital LLC, its general partner by David A. Taft | 07/03/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | On June 30, 2014, The IBS Opportuntiy Fund, Ltd. ("Opportunity Fund") sold 342,350 shares of AMNL common stock to The IBS Turnaround Fund (QP) (A Limited Partnership) ("QP Fund") and 197,650 shares of AMNL common stock to The IBS Turnaround Fund (A Limited Partnership) ("LP Fund"). After completion of these transactions, IBS Capital LLC ("IBS Capital") indirectly beneficial owed 22,331,153 shares of AMNL common stock which consisted of (i) 13,284,670 shares of AMNL common stock directly beneficially owned by QP Fund, (ii) 6,451,889 shares of AMNL common stock direcly beneficially owned by LP Fund and (iii) 2,594,594 shares of AMNL common stock directly benefically owned by Opportunity Fund. |
(2) | IBS Capital is the general partner of QP Fund and LP Fund and is the investment manager of Opportunity Fund. |
(3) | The reported securities are directly beneficially owned by QP Fund, LP Fund and/or Opportunity Fund. The reporting person disclaims beneficial ownership of the reported securities except to the extent of any pecuniary interest therein. |