FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
MATRIXX INITIATIVES INC [ MTXX ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 01/26/2011 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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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) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock, par value $0.001 per share | 1,088,424 | I | See footnotes(1)(2) | |||||||
Common Stock, par value $0.001 per share | 1,262,000 | I | See footnotes(1)(3)(4)(5) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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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 Securities Underlying Derivative Security (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: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. The entities and individuals identified in the footnotes of this Form 4, together with the entities and individuals identified on the Form 4 filed by, among others, The Collectors' Fund, L.P. ("Collectors") and Amici Healthcare, L.P. ("Amici Healthcare") on January 10, 2011 and the Form 3 filed by Amici Associates, L.P. ("Amici Associates"), Amici Qualified Associates, L.P. ("Amici Qualified Associates") and Amici Fund International, Ltd. ("Amici International" and, together with Amici Associates, Amici Qualified Associates, Collectors and Amici Healthcare, the "Funds") on the date hereof, may be deemed members of a group holding equity securities of the Issuer. The filing of this Form 4 and any statements included herein shall not be deemed to be an admission that such entities and individuals are members of such group. |
2. The amount of securities shown in this row is, in the aggregate, owned directly by Amici Associates, Amici Qualified Associates, Collectors and Amici Healthcare (collectively, the "Partnerships"). As the general partner of each of the Partnerships, CF Advisors, LLC (the "General Partner") may be deemed to be a beneficial owner of the Issuer's securities held by each of the Partnerships. The General Partner disclaims any beneficial ownership of any of the Issuer's securities reported or referred to herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), or otherwise, except as to securities representing the General Partner's pro rata interest in, and interest in the profits of, the Partnerships. |
3. The amount of securities shown in this row is, in the aggregate, owned directly by the Funds and a discretionary account (the "Managed Account") managed by Porter Orlin LLC (the "Investment Manager"). |
4. As the registered investment adviser to the Funds and the Managed Account, the Investment Manager may be deemed to be a beneficial owner of the Issuer's securities held by the Funds and the Managed Account. The Investment Manager disclaims any beneficial ownership of any of the Issuer's securities reported or referred to herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of its pecuniary interest, if any. |
5. Each of A. Alex Porter and Paul E. Orlin (collectively, the "Managing Members"), as a managing member of the General Partner and the Investment Manager with the power to exercise investment discretion, may be deemed to be a beneficial owner of the Issuer's securities held by the Funds and the Managed Account. Each of the Managing Members disclaims any beneficial ownership of any of the Issuer's securities reported or referred to herein for purposes of Section 16 of the Exchange Act or otherwise, except to the extent of his pecuniary interest, if any. |
/s/ A. Alex Porter, as authorized signer for each of Porter Orlin LLC and CF Advisors, LLC | 01/28/2011 | |
/s/ Paul E. Orlin, as authorized signer for each of Porter Orlin LLC and CF Advisors, LLC | 01/28/2011 | |
/s/ A. Alex Porter | 01/28/2011 | |
/s/ Paul E. Orlin | 01/28/2011 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |