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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MURMANN KLAUS H BISMARCKALLEE 24 D 24105 KIEL, 2M |
X | X | ||
MURMANN SVEN ELBKAIHAUS GROSSE ELBSTRASSE 145B D 27767 HAMBURG, 2M |
X | X | ||
KEIM NICOLA SCHOMORELLPALTZ 7 MUNCHEN, 2M D 81545 |
X | |||
SAUER HOLDING GMBH SAUER DANFOSS INC., ATTN: KEN MCCUSKEY 2800 EAST 13TH STREET AMES, IA 50010 |
X | |||
MURMANN HANNELORE BISMARCKALLEE 24 D 24105 KIEL, 2M |
X |
Klaus H. Murmann | 06/14/2007 | |
**Signature of Reporting Person | Date | |
Sven Murmann | 06/14/2007 | |
**Signature of Reporting Person | Date | |
Nicola Keim | 06/14/2007 | |
**Signature of Reporting Person | Date | |
Sauer Holding GmbH, by Sven Murmann, Managing Director | 06/14/2007 | |
**Signature of Reporting Person | Date | |
Hannelore Murmann, by Klaus H. Murmann, as Attorney-in-Fact | 06/14/2007 | |
**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) | (1) These shares are owned directly by Sven Murmann, a director and 10% beneficial owner of the issuer. |
(2) | (2) These shares are owned directly by Nicola Keim, a director of the issuer. |
(3) | (3) These shares are owned directly by Sauer Holding, GmbH, a German limited liability company that is a 10% beneficial owner of the issuer ("Sauer Holding"). These shares are owned indirectly by Klaus H. Murmann, Hannelore Murmann, and Sven Murmann as members of Sauer Holding who share the power to vote on investment decisions. Hannelore Murmann may be deemed to be a 10% beneficial owner of the issuer. Klaus H. Murmann and Hannelore Murmann each disclaim beneficial ownership of 14,569,743 shares of these securities. Sven Murmann disclaims beneficial ownership of 15,361,990 shares of these securities. This report shall not be deemed an admission that Klaus H. Murmann, Hannelore Murmann, or Sven Murmann is the beneficial owner of the disclaimed securities for purposes of Section 16 or for any other purpose. |