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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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(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. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MIKLES LEE E 2300 CARILLON POINT KIRKLAND, WA 98033 |
 X |  |  Interim President and CEO |  |
/s/ Timothy M. Dozois, attorney-in-fact | 02/11/2015 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Represents 125,000 shares of Class A Common Stock owned by a trust for the benefit of the reporting person on April 10, 2014, the date on which the reporting person became a director of Pendrell Corporation. |
(2) | The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. |
(3) | This holding was inadvertently omitted from the reporting person's original Form 3 and also from three Forms 4 filed by the reporting person after his original Form 3 was filed. |
(4) | Represents 112,300 shares of Class A Common Stock owned by the reporting person's spouse on April 10, 2014, the date on which the reporting person became a director of Pendrell Corporation. |
(5) | Represents 10,000 shares of Class A Common Stock owned by a trust for the benefit of the reporting person's daughter on April 10, 2014, the date on which the reporting person became a director of Pendrell Corporation. |
(6) | Represents 1,000 shares of Class A Common Stock owned in a custodial account for the benefit of the reporting person's son on April 10, 2014, the date on which the reporting person became a director of Pendrell Corporation. |