Fong Joseph 5
5 · Empeiria Acquisition Corp · Filed Feb 14, 2012
Insider Transaction Report
Form 5
Fong Joseph
Chief Financial Officer & EVP10% Owner
Transactions
- Disposition to Issuer
Common Stock
2011-07-29−1,416→ 10,054 total - Disposition to Issuer
Common Stock
2011-07-29−3,309→ 23,494 total(indirect: See footnote) - Disposition to Issuer
Common Stock
2011-07-29−1,945→ 17,185 total(indirect: See footnote) - Disposition to Issuer
Common Stock
2011-07-29−5,165→ 45,625 total(indirect: See footnote)
Footnotes (4)
- [F1]Represents shares forfeited to the Issuer, for no consideration, as a result of the underwriters of the initial public offering ("IPO") of the Issuer's securities not exercising their over-allotment option in accordance with the Issuer's prospectus relating to the IPO and pursuant to the letter agreement dated June 15, 2011.
- [F2]23,494 shares of common stock of the Issuer are held by Stonehenge Investments, LLC, ("Stonehenge") an entity which is solely owned by a Roth IRA account of which Mr. Fong is the sole participant.
- [F3]Reporting Person indirectly owns 17,185 shares of common stock through his membership interest in Empeiria Investors LLC that is held by Stonehenge.
- [F4]Reporting person indirectly owns 45,625 shares of common stock through his membership interest in Empeiria Investors LLC. Reporting Person is a managing member of the Sponsor and may be deemed to have beneficial ownership over all shares of common stock owned by the Sponsor and disclaims beneficial ownership of any shares of common stock for which he does not have pecuniary interest.