1
|
NAME OF REPORTING PERSON
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Norman H. Pessin
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||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
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||
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||||
4
|
SOURCE OF FUNDS
|
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||
PF
|
|
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|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(D) OR 2(E)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
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
|
7
|
SOLE VOTING POWER
|
|
|
|
572,517
|
|
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|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
572,517
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
572,517
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
1) 5.2%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON*
|
|
|
||
IN
|
|
|
|||
|
|
1
|
NAME OF REPORTING PERSON
|
|
|
||
Brian Pessin
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
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
|
|
|
|
72,000
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
72,000
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
72,000
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0.6%
|
|
|
|||
|
|
||||
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)
|
Brian Pessin
|
||
310 East 75th Street, Apt. 2A
|
|||
New York, NY 10021
|
|||
Principal Occupation:
|
1)
|
Investor
|
|
2)
|
Investor
|
||
Criminal Convictions:
|
1)
|
None
|
|
2)
|
None
|
||
Civil Proceedings:
|
1)
|
None
|
|
2)
|
None
|
||
Citizenship:
|
1)
|
United States
|
|
2)
|
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/ Brian Pessin | ||
Brian Pessin
|
||
January 12, 2017
|
Shares of Common
Stock Bought
|
Price Per
Share ($)
|
Date of
Purchase
|
Norman H. Pessin
|
||
10,000
|
1.80
|
11/16/16
|
1,299
|
1.76
|
11/17/16
|
28,100
|
1.92
|
11/18/16
|
30,000
|
1.81
|
11/21/16
|
2,100
|
1.81
|
11/22/16
|
480
|
1.91
|
11/28/16
|
11,600
|
1.91
|
11/29/16
|
115,000
|
2.32
|
11/30/16
|
20,000
|
2.25
|
12/1/16
|
90,000
|
2.74
|
1/3/17
|
Brian Pessin
|
||
10,000
|
1.91
|
11/18/16
|
5,000
|
1.89
|
11/23/16
|
5,000
|
1.89
|
11/29/16
|
10,000
|
2.30
|
11/30/16
|
10,000
|
2.73
|
1/3/17
|