- Statement of Changes in Beneficial Ownership (4)
07 October 2009 - 5:41AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
|
|
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(f) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
DDJ CAPITAL MANAGEMENT LLC
|
2. Issuer Name
and
Ticker or Trading Symbol
PHYSICIANS FORMULA HOLDINGS, INC.
[
face
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
130 TURNER STREET, BUILDING 3, SUITE 600
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
10/2/2009
|
(Street)
WALTHAM, MA 02453
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security
(Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code
(Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock
|
10/2/2009
|
|
S
|
|
90000
|
D
|
$2.74
|
789010
|
I
|
Footnotes
(1)
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 3)
|
2. Conversion or Exercise Price of Derivative Security
|
3. Trans. Date
|
3A. Deemed Execution Date, if any
|
4. Trans. 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
|
7. Title and Amount of Securities Underlying Derivative Security
(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)
|
Code
|
V
|
(A)
|
(D)
|
Date Exercisable
|
Expiration Date
|
Title
|
Amount or Number of Shares
|
Explanation of Responses:
|
(
1)
|
Indirect ownership in securities held by DDJ/Ontario Credit Opportunities Fund, L.P. Unable to determine exact pecuniary interest and disclaims any beneficial interest in excess of pecuniary.
|
(
2)
|
DDJ Capital Management, LLC (DDJ) serves as investment manager, and accordingly, has voting and investment power in securities held by DDJ/Ontario Credit Opportunities Fund, L.P. DDJ also serves as investment manager, and accordingly, has voting and investment power, but no pecuniary interest, in securities held by an account managed by DDJ on behalf of an institutional investor.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
DDJ CAPITAL MANAGEMENT LLC
130 TURNER STREET
BUILDING 3, SUITE 600
WALTHAM, MA 02453
|
|
X
|
|
|
Signatures
|
DDJ Capital Management,LLC, By:/s/David J. Brezzzano, Name: David J. Breazzano, Title: President
|
|
10/6/2009
|
**
Signature of Reporting Person
|
Date
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
|
*
|
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).
|
Note:
|
File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
|
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.
|
Physicians Formula Holdings, Inc. (MM) (NASDAQ:FACE)
Historical Stock Chart
From Sep 2024 to Oct 2024
Physicians Formula Holdings, Inc. (MM) (NASDAQ:FACE)
Historical Stock Chart
From Oct 2023 to Oct 2024
Real-Time news about Physicians Formula Holdings, Inc. (MM) (NASDAQ): 0 recent articles
More News Articles