4. Section 17(a) of the Pubic Lenty Holding Company MI of 1935 or Section *h) ol me Investment Company Am ol 1940 OMB APPROVAL Oln8Nnnoin Espial Eremitic average burden hours pe. menus, 3235.0207 February 29. 2011 0.5 I. Name and Address of Reporting Person. SCHWARTZ ALAN D 2. Issuer Name and T