UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
UKROP JAMES E 111 VIRGINIA STREET SUITE 200 RICHMOND, VA 23219 |
X | X | ||
UKROP ROBERT S 111 VIRGINIA STREET SUITE 200 RICHMOND, VA 23219 |
X | |||
Ukrop's Services, L.C. 111 VIRGINIA STREET SUITE 200 RICHMOND, VA 23219 |
X | |||
Ukrop's Thrift Holdings, Inc. 111 VIRGINIA STREET SUITE 200 RICHMOND, VA 23219 |
X | |||
Ukrop's Super Markets, Inc. 111 VIRGINIA STREET SUITE 200 RICHMOND, VA 23219 |
X |
/s/ David N. Oakey, power of attorney, **Signature of James E. Ukrop | 03/02/2010 | |
**Signature of Reporting Person | Date | |
/s/ David N. Oakey, power of attorney, **Signature of Robert S. Ukrop | 03/02/2010 | |
**Signature of Reporting Person | Date | |
/s/ David N. Oakey, power of attorney, **Signature of Ukrop's Thrift Holdings, Inc. | 03/02/2010 | |
**Signature of Reporting Person | Date | |
/s/ David N. Oakey, power of attorney, **Signature of Ukrop's Super Markets, Inc. | 03/02/2010 | |
**Signature of Reporting Person | Date | |
/s/ David N. Oakey, power of attorney, **Signature of Ukrop's Services, L.C. | 03/02/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | These securities are owned solely by James E. Ukrop ("James"). |
(2) | These securities are owned solely by Robert S. Ukrop ("Robert"). |
(3) | These shares are held directly by Ukrop's Thrift Holdings, Inc. ("Thrift"). Thrift is a wholly owned subsidiary of Ukrop's Super Market's Inc. ("Ukrop's"), which may be deemed to be the indirect beneficial owner of these shares. Robert is a shareholder, director and executive officer of Ukrop's and James is a shareholder of Ukrop's. As such, each of Robert and James may deemed to have a pecuniary interest in his proportional share of these holdings. Each of Robert and James disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(4) | These shares are held directly by Ukrop's Services, L.C. ("Services"). Each of James and Robert is a manager of, and holds a 50% membership interest in, Services. As such, each of James and Robert may be deemed to have a pecuniary interest in 50% of these holdings. Each of Robert and James disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(5) | Robert is a trustee of such trust, and the beneficiary is one of his children. As such, Robert may be deemed to be the indirect beneficial owner of these shares. Robert disclaims beneficial ownership of these securities. |
(6) | Robert's spouse, Jayne B. Ukrop ("Jane") is the trustee of such trust, and the beneficiary is one of Robert's children. As such, Robert may be deemed to be the indirect beneficial owner of these shares. Robert disclaims beneficial ownership of these securities. |
Remarks: Due to inclement weather and the subsequent closing of the Securities and Exchange Commission (the "SEC"), the SEC was not able to process the applications for Edgar filing codes for the additional filers in time for the initial filing of this Form 3. The SEC has now issued such codes, and this Form 3 is being amended solely for the purpose of indicating each additional filer to this joint filing in the SEC's electronic filing system. |