- Statement of Changes in Beneficial Ownership (4)
22 Setembro 2011 - 5:42PM
Edgar (US Regulatory)
FORM 4
[
X
]
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:
November 30, 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
*
SWARTZ JEFFREY B
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2. Issuer Name
and
Ticker or Trading Symbol
TIMBERLAND CO
[
TBL
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
President and CEO
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(Last)
(First)
(Middle)
200 DOMAIN DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/13/2011
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(Street)
STRATHAM, NH 03885
(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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Class A Common Stock
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9/13/2011
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D
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735996
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D
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$43
(5)
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0
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D
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Class A Common Stock
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9/13/2011
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D
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31200
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D
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$43
(5)
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0
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I
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By Self As Custodian
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Class A Common Stock
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9/13/2011
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D
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87204
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D
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$43
(5)
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0
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I
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By Spouse
(2)
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Class A Common Stock
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9/13/2011
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D
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278204
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D
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$43
(5)
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0
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I
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By Swartz Trust
(4)
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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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Non-qualified Stock Option (Right to Buy)
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$9.34
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9/13/2011
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D
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284560
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3/4/2010
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3/5/2019
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Class A Common Stock
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0
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$43
(6)
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0
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D
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Non-qualified Stock Option (Right to Buy)
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$15.19
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9/13/2011
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D
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5450
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2/25/2000
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2/25/2009
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Class A Common Stock
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0
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$43
(6)
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0
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D
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Non-qualified Stock Option (Right to Buy)
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$19.45
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9/13/2011
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D
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113489
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3/4/2012
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3/4/2020
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Class A Common Stock
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0
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$43
(6)
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0
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D
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Non-qualified Stock Option (Right to Buy)
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$19.485
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9/13/2011
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D
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90000
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3/6/2004
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3/6/2013
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Class A Common Stock
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0
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$43
(6)
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0
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D
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Non-qualified Stock Option (Right to Buy)
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$31.29
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9/13/2011
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D
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150000
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3/3/2005
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3/3/2014
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Class A Common Stock
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0
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$43
(6)
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0
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D
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Class B Common Stock
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(3)
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9/13/2011
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D
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64380
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(3)
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(3)
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Class A Common Stock
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0
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$43
(5)
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0
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D
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Class B Common Stock
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(3)
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9/13/2011
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D
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183484
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(3)
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(3)
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Class A Common Stock
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0
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$43
(5)
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0
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I
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By Self As Custodian
(1)
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Class B Common Stock
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(3)
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9/13/2011
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D
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3220612
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(3)
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(3)
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Class A Common Stock
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0
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$43
(5)
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0
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I
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By Swartz Trust
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Explanation of Responses:
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(
1)
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The Reporting Person, as custodian for his sons, Daniel, Samuel and Noah Swartz, under the MA Uniform Gifts to Minors Act, holds the following shares for his sons: 15,600 shares each for Daniel and Samuel Swartz of Class A Common Stock.
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(
2)
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Reporting Person's spouse received shares as a gift. Reporting Person disclaims ownership of these shares.
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(
3)
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The Class B Common Stock is convertible into Class A Common Stock at any time on a one-for-one basis, and has no expiration date. Previously this was reported on Table I but will in future filings be reported on Table II.
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(
4)
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The Reporting Person is one of the beneficiaries of The Sidney W. Swartz 1982 Family Trust, which Trust holds 278,204 shares of Class A Common Stock and 3,220,612 shares Class B.
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(
5)
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These shares were disposed of pursuant to the merger agreement between the issuer and VF Corporation at a per share buyout price of $43.00.
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(
6)
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The option was cancelled as a result of the merger. A cash payment was made in lieu of the equity cancelled which represents the difference between the exercise price of the option and the per share buyout price of $43.00
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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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SWARTZ JEFFREY B
200 DOMAIN DRIVE
STRATHAM, NH 03885
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X
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X
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President and CEO
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Signatures
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/s/Danette Wineberg, attorney-in-fact for Jeffrey B. Swartz
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9/22/2011
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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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