-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, CAWMdF2a9oD4ic1oiGX4has31gWbrxZhrEu3ahCkgyoSVXoBi9vVmdV545hm/gyx +kOjYo+GrFilMIDuBH1imA== 0001005477-02-002627.txt : 20021211 0001005477-02-002627.hdr.sgml : 20021211 20021211123526 ACCESSION NUMBER: 0001005477-02-002627 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021209 FILED AS OF DATE: 20021211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SIENA HOLDINGS INC CENTRAL INDEX KEY: 0000060150 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 751043392 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-06868 FILM NUMBER: 02854399 BUSINESS ADDRESS: STREET 1: 5068 WEST PLANO PARKWAY STREET 2: SUITE 300 CITY: PLANO STATE: TX ZIP: 75235 BUSINESS PHONE: 9723814255 MAIL ADDRESS: STREET 1: 5068 WEST PLANO PARKWAY STREET 2: SUITE 300 CITY: PLANO STATE: TX ZIP: 75235 FORMER COMPANY: FORMER CONFORMED NAME: LOMAS & NETTLETON FINANCIAL CORP DATE OF NAME CHANGE: 19881030 FORMER COMPANY: FORMER CONFORMED NAME: LOMAS FINANCIAL CORP DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: KNEAFSEY JOHN P CENTRAL INDEX KEY: 0001068616 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: PATHFINDER ADVISORY SERVICES INC STREET 2: 9515 DEERECO DR STE 903 CITY: TIMONIUM STATE: MD ZIP: 21093 BUSINESS PHONE: 4104530400 MAIL ADDRESS: STREET 1: PATHFINDER ADVISORY SERVICES INC STREET 2: 9515 DEERECO DR STE 903 CITY: TIMONIUM STATE: MD ZIP: 21093 4 1 file001.txt FORM 4 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 4 STATEMENT OF CHANGES OF 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 |_| 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* Kneafsey, John P. - -------------------------------------------------------------------------------- (Last) (First) (Middle) c/o Pathfinder Advisory Services, Inc. 9515 Deereco Road, Suite 903 - -------------------------------------------------------------------------------- (Street) Timonium MD 21093 - -------------------------------------------------------------------------------- (City) (State) (Zip) - -------------------------------------------------------------------------------- 2. Issuer Name and Ticker or Trading Symbol Siena Holdings, Inc. - SIEN - -------------------------------------------------------------------------------- 3. IRS Identification Number of Reporting Person, if an entity (Voluntary) - -------------------------------------------------------------------------------- 4. Statement for Month/Day/Year 12/09/2002 - -------------------------------------------------------------------------------- 5. If Amendment, Date of Original (Month/Day/Year) - -------------------------------------------------------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) |X| Director |X| 10% Owner |X| Officer (give title below) |X| Other (specify below) Chief Executive Officer - -------------------------------------------------------------------------------- 7. Individual or Joint/Group Filing (Check Applicable Line) |X| Form filed by One Reporting Person |_| Form filed by More than One Reporting Person ================================================================================ * If the Form is filed by more than one reporting person, see Instruction 4(b)(v). - -------------------------------------------------------------------------------- Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - --------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 6. 4. 5. Owner- 2A. Securities Acquired (A) or Amount of ship Deemed 3. Disposed of (D) Securities Form: 7. 2. Execution Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of Transaction Date, Code ---------------------------- Owned (D) or Indirect 1. Date if any (Instr. 8) (A) Following Indirect Beneficial Title of Security (Month/ (Month/ ------------ Amount or Price Reported (I) Ownership (Instr. 3) Day/Year) Day/Year) Code V (D) Transaction(s) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ common 12/09/02 P 60000 1.06 3129565 D - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. Page 1 of 2 - -------------------------------------------------------------------------------- FORM 4 (continued) - -------------------------------------------------------------------------------- Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - --------------------------------------------------------------------------------
- ------------------------------------------------------------------------------------------------------------------------------------ 9. 10. Number Owner- of ship 2. Deriv- Form of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or 3A. Derivative 6. of Underlying 8. ities Secur- of Exer- Deemed 4. Securities Date Securities Price Bene- ity: In- cise 3. Execut- Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- tion action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Date, Code of(D) (Month/Day/Year) Amount ative Following In- ficial Title of Deriv- Date if any (Instr. (Instr. 3, ---------------- or Secur- Reported direct Owner- Derivative ative (Month/ (Month/ 8) 4 and 5) Date Expira- Number ity Trans- (I) ship Security Secur- Day/ Day/ ------ ------------ Exer- tion of (Instr. actions (Instr. (Instr. (Instr. 3) ity Year) Year) Code V (A) (D) cisable Date Title Shares 5) (Instr. 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Date: 12/09/2002 /s/ John P. Kneafsey ------------------------------------------ ** Signature of Reporting Person Name: John P. Kneafsey c/o Pathfinder Advisory Services, Inc. 9515 Deereco Road, Suite 903 Timonium, MD 21093 ** 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 provided is insufficient, See Instruction 6 for procedure. -----END PRIVACY-ENHANCED MESSAGE-----