Statement of Changes in Beneficial Ownership (4)
11 März 2014 - 1:49PM
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
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 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Jilot Dennis L.
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2. Issuer Name
and
Ticker or Trading Symbol
STR HOLDINGS, INC.
[
STRI
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
18 CRAFTSMAN ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
3/7/2014
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(Street)
EAST WINDSOR, CT 06088
(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)
_
X
_ Form filed by One Reporting Person
___ 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, Par Value $0.01 Per Share
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3/7/2014
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S
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325000
(1)
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D
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$1.54
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67816
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I
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See Footnote
(2)
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Common Stock, Par Value $0.01 Per Share
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3/7/2014
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S
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325000
(1)
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D
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$1.54
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67816
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I
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See Footnote
(3)
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Common Stock, Par Value $0.01 Per Share
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3/7/2014
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S
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120000
(1)
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D
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$1.54
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947500
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I
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See Footnote
(4)
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Common Stock, Par Value $0.01 Per Share
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50160
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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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The amount reported represents the number of shares tendered by the holder in the Issuer's modified "Dutch auction" tender offer.
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(
2)
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Held by Linda L. Jilot, as Trustee for The Linda L. Jilot GRAT No. 2 Trust Agreement dated April 16, 2012. Mr. Jilot's spouse is trustee of the trust. Mr. Jilot disclaims ownership of such securities, and this report should not be deemed an admission that Mr. Jilot is the beneficial owner of these securities for purposes of Section 16 or for any other purposes.
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(
3)
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Held by Dennis L. Jilot, as Trustee for The Dennis L. Jilot GRAT No. 2 Trust Agreement dated April 16, 2012.
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(
4)
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Held by The Dennis L. Jilot and Linda L. Jilot Family Trust, of which Mr. Jilot is a co-trustee and beneficiary.
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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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Jilot Dennis L.
18 CRAFTSMAN ROAD
EAST WINDSOR, CT 06088
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X
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Signatures
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/s/ Thomas McDermott, attorney-in-fact
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3/11/2014
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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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