- Statement of Changes in Beneficial Ownership (4)
19 April 2011 - 7:14AM
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).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Expires:
February 28, 2011
Estimated average burden
hours per response...
0.5
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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
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1. Name and Address of Reporting Person
*
Adam Smith Fund, LLC
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2. Issuer Name
and
Ticker or Trading Symbol
PEOPLES EDUCATIONAL HOLDINGS
[
PEDH
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O CHERRY TREE INVESTMENTS, INC., 301 CARLSON PARKWAY, SUITE 103
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/14/2011
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(Street)
MINNETONKA, MN 55305
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
(1)
(2)
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4/14/2011
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A
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100000
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A
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$1.434
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1713915
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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These securities are owned directly by Adam Smith Fund, LLC ("Fund"), and indirectly by Adam Smith Management, LLC ("ASM"), as investment manager of the Fund, by Adam Smith Companies, LLC, as manager of ASM, and by Tony J. Christianson as manager of Adam Smith Companies, LLC.
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(
2)
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The reporting persons disclaim beneficial ownership of the shares reported herein except to the extent of their pecuniary interests in such shares. This report shall not be deemed an admission by any of the reporting persons that it is the beneficial owner of these securities for the purpose of Section 16 or any other purpose.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Adam Smith Fund, LLC
C/O CHERRY TREE INVESTMENTS, INC.
301 CARLSON PARKWAY, SUITE 103
MINNETONKA, MN 55305
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X
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Adam Smith Management, LLC
C/O CHERRY TREE INVESTMENTS, INC.
301 CARLSON PARKWAY, SUITE 103
MINNETONKA, MN 55305
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X
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see footnotes 1, 2
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Adam Smith Companies, LLC
C/O CHERRY TREE INVESTMENTS, INC.
301 CARLSON PARKWAY, SUITE 103
MINNETONKA, MN 55305
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X
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see footnotes 1, 2
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CHRISTIANSON TONY
C/O CHERRY TREE INVESTMENTS, INC.
301 CARLSON PARKWAY, SUITE 103
MINNETONKA, MN 55305
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X
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X
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see footnotes 1, 2
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Signatures
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Adam Smith Fund, LLC By: /s/ Tony J. Christianson, Manager
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4/18/2011
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**
Signature of Reporting Person
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Date
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Adam Smith Management, LLC By: /s/ Tony J. Christianson, Manager
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4/18/2011
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**
Signature of Reporting Person
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Date
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Adam Smith Companies, LLC By: /s/ Tony J. Christianson, Manager
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4/18/2011
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**
Signature of Reporting Person
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Date
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/s/ Tony J. Christianson
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4/18/2011
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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