4/A//SEC Filing
GAREN ERIC R 4/A
Accession 0001181431-13-003021
CIK 0001002037other
Filed
Jan 10, 7:00 PM ET
Accepted
Jan 11, 8:49 PM ET
Size
18.6 KB
Accession
0001181431-13-003021
Insider Transaction Report
Form 4/AAmended
GAREN ERIC R
DirectorChairman of the Board10% Owner
Transactions
- Gift
Common Stock
2012-05-14−213,000→ 3,300,105 total(indirect: See footnotes) - Gift
Common Stock
2012-08-16−780,000→ 3,300,105 total(indirect: See footnotes) - Gift
Common Stock
2012-05-14−213,000→ 3,300,105 total(indirect: See footnotes) - Gift
Common Stock
2012-06-04−812,958→ 3,300,105 total(indirect: See footnotes) - Gift
Common Stock
2012-06-04−812,958→ 3,300,105 total(indirect: See footnotes) - Gift
Common Stock
2012-08-16−780,000→ 3,300,105 total(indirect: See footnotes)
Footnotes (7)
- [F1]Reflects a change in the form of beneficial ownership of 213,000 shares which are being transferred as follows: 106,500 shares to the Garen Family Trust from the Eric R. Garen 2011 Annuity Trust #1 and 106,500 to the Garen Family Trust from the Nancy Garen 2011 Annuity Trust #1. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 410,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (Continued in footnote 2)
- [F2](iv) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (v) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vi) 496,033 shares held by the Steven Robert Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (vi) 213,000 shares held by the Garen Family Trust.
- [F3]The transfer reported on the reporting person's Form 4 dated March 14, 2012 were not finalized until June 4, 2012.
- [F4]Reflects a change in the form of beneficial ownership of 812, 958 shares which are being transferred as follows: 25,000 shares from Eric R. Garen to the Eric R. Garen 2009 Annuity Trust #3, 25,000 shares from Nancy Garen to the Nancy Garen 2009 Annuity Trust #3, 418,979 shares from Nancy Garen to Garen Capital Partners, a family partnership, and 343,979 shares to the Garen Capital Partners, a family partnership. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 410,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 25,000 shares held by each of the Eric R. Garen 2009 Annuity Trust #3 and the Nancy Garen 2009 Annuity Trust #3; (Continued in footnote 5)
- [F5](iv) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (v) 762,958 shares held by Garen Capital Partners, a family partnership; (vi) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vii) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (viii) 496,033 shares held by the Steven Robert Garen Family Trust an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (ix) 213,000 shares held by the Garen Family Trust.
- [F6]Reflects a change in the form of beneficial ownership of 780,000 shares which are being transferred as follows: 390,000 shares to the Garen Family Trust from the Eric R. Garen 2011 Annuity Trust #2 and 390,000 to the Garen Family Trust from the Nancy Garen 2011 Annuity Trust #2. Following the transfers resulting in the change of beneficial ownership, Mr. Garen's beneficial ownership of shares includes: (i) 43,500 shares held by each of the Eric R. Garen 2011 Annuity Trust #1 and the Nancy Garen Annuity Trust #1; (ii) 20,637 shares held by each of the Eric R. Garen 2011 Annuity Trust #2 and the Nancy Garen 2011 Annuity Trust #2; (iii) 25,000 shares held by each of the Eric R. Garen 2009 Annuity Trust #3 and the Nancy Garen 2009 Annuity Trust #3; (Continued in footnote 7)
- [F7](iv) 218,808 shares held by Garen Family Foundation, a Section 501(c)(3) exempt private foundation of which the Reporting Person and his spouse are co-trustees and disclaim beneficial ownership; (v) 762,958 shares held by Garen Capital Partners, a family partnership; (vi) 154,999 shares held by Garen Dynasty Trust ("Dynasty Trust"), an irrevocable DE trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (vii) 496,033 shares held by the Nicole Suzanne Garen Family Trust, an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; (viii) 496,033 shares held by the Steven Robert Garen Family Trust an irrevocable CA trust, of which Mr. Garen lacks voting and disposition power with respect to, and disclaims beneficial ownership of, all such shares; and (ix) 993,000 shares held by the Garen Family Trust.
Documents
Issuer
LEARNING TREE INTERNATIONAL INC
CIK 0001002037
Entity typeother
IncorporatedCA
Related Parties
1- filerCIK 0001024643
Filing Metadata
- Form type
- 4/A
- Filed
- Jan 10, 7:00 PM ET
- Accepted
- Jan 11, 8:49 PM ET
- Size
- 18.6 KB