Statement of Changes in Beneficial Ownership (4)
2013年9月24日 - 1:14AM
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
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
*
Samick Musical Instruments Co, Ltd.
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2. Issuer Name
and
Ticker or Trading Symbol
STEINWAY MUSICAL INSTRUMENTS INC
[
LVB
]
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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)
1-6 DAEJANG-RI SOYI-MYEON, EUMSEONG-GUN
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/19/2013
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(Street)
CHUNGCHEONGBUK-DO, M5 369-872
(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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Ordinary Common Stock, par value $0.001
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9/19/2013
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U
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3768554
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D
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$40
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0
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D
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Ordinary Common Stock, par value $0.001
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9/19/2013
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U
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244700
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D
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$40
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0
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I
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By Opus Five Investments 1, LP
(1)
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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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Of the 4,013,254 shares of Ordinary Common Stock, par value $0.001 per share, reported herein, 3,768,554 shares were directly owned by Samick Musical Instruments Co., Ltd. ("Samick") and may be deemed to have been beneficially owned by Jong Sup Kim as Chairman of the Board of Directors and controlling shareholder of Samick. The other 244,700 shares were owned by Opus Five Investment 1 LP ("Opus LP") and may be deemed to have be beneficially owned by the reporting persons by virtue of Samick?s being the controlling shareholder of Sam Song Co., Ltd., which is the sole limited partner of Opus LP. The reporting persons disclaim beneficial ownership of the reported stock except to the extent of their pecuniary interest therein.
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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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Samick Musical Instruments Co, Ltd.
1-6 DAEJANG-RI SOYI-MYEON, EUMSEONG-GUN
CHUNGCHEONGBUK-DO, M5 369-872
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X
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Kim Jong Sup
1-6 DAEJANG-RI SOYI-MYEON, EUMSEONG-GUN
CHUNGCHEONGBUK-DO, M5 369-872
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X
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X
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Signatures
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/s/ Jong Sup Kim, Chairman
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9/22/2013
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**
Signature of Reporting Person
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Date
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/s/ Jong Sup Kim
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9/22/2013
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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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