Statement of Changes in Beneficial Ownership (4)
30 7월 2014 - 3:25AM
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
*
Holmes Edward J.
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2. Issuer Name
and
Ticker or Trading Symbol
DELTA NATURAL GAS CO INC
[
DGAS
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
333 W. VINE STREET, SUITE 300
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/13/2013
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(Street)
LEXINGTON, KY 40507
(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)
_
X
_ Form filed by One Reporting Person
___ 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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Common Stock
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9/13/2013
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J
(1)
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15.53
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A
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$19.02
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1569.8
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D
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Common Stock
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9/13/2013
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J
(2)
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52.58
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A
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$19.02
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1622.38
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D
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Common Stock
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10/15/2013
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J
(3)
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46.97
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A
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$21.29
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1669.35
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D
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Common Stock
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11/15/2013
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J
(3)
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46.21
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A
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$21.64
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1715.56
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D
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Common Stock
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12/13/2013
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J
(1)
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14.83
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A
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$21.98
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1730.39
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D
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Common Stock
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12/13/2013
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J
(3)
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45.49
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A
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$21.98
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1775.88
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D
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Common Stock
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1/15/2014
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J
(3)
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47.39
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A
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$21.1
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1823.27
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D
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Common Stock
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2/14/2014
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J
(3)
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51.18
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A
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$19.54
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1874.45
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D
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Common Stock
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3/14/2014
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J
(1)
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16.51
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A
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$21.57
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1890.96
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D
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Common Stock
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3/14/2014
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J
(3)
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46.36
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A
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$21.57
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1937.32
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D
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Common Stock
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4/15/2014
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J
(3)
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52.66
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A
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$18.99
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1989.98
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D
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Common Stock
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5/15/2014
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J
(3)
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51.55
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A
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$19.4
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2041.53
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D
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Common Stock
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6/13/2014
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J
(1)
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19.19
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A
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$20.21
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2060.72
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D
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Common Stock
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6/13/2014
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J
(3)
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49.48
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A
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$20.21
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2110.2
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D
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Common Stock
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7/15/2014
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J
(3)
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48.66
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A
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$20.55
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2158.86
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D
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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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Dividend reinvestment
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(
2)
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Mr. Holmes chose to have a portion of his monthly director fees used to purchase Delta common stock through Delta's Dividend Reinvestment Plan ("DRIP"). These acquisitions should have been reported within two days of each purchase on a Form 4. Delta, under a power of attorney for Mr. Holmes, originally intended to report these acquisitions for Mr. Holmes on a Form 5 in a manner similar to its report of Mr. Holmes' acquisition of Delta common stock from cash dividends through the DRIP.
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(
3)
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Optional investment. See footnote 2.
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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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Holmes Edward J.
333 W. VINE STREET
SUITE 300
LEXINGTON, KY 40507
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X
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Signatures
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Edward J. Holmes by Emily P. Bennett/POA
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7/29/2014
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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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