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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants | $ 6.5 | 09/24/2008 | 09/28/2011 | Common Stock | 0 | 3,260,012 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Nisswa Acquisition Master Fund Ltd. C/O MAPLES CORPORATE SVCS LIMITED PO BOX 309, UGLAND HOUSE GRAND CAYMAN, E9 KY1-1104 |
no longer 10% owners |
Nisswa Acquisition Master Fund Ltd., By: Pine River Capital Management L.P., its Investment Manager, By: Pine River Capital Management LLC, its General Partner, By: Brian Taylor | 12/21/2009 | |
**Signature of Reporting Person | Date |
* | 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). |
Remarks: According to the Form 6-K filed by the Issuer on December 3, 2009, it had issued 4,308,075 shares of its common stock pursuant to the earn-out provision contained in the acquisition agreement associated with the Issuer's 2008 business combination. As of that date, the Reporting Person no longer had reporting obligations under Section 16. The Reporting Person met all of its filing oblgiations under Section 16 and the "Date of Earliest Transaction" referenced hereinabove is the date of the Form 6-K referred to in this response. This Form 4 is being filed, not due to a statutory requirement, but rather as notice that the Reporting Person is no longer subject to Section 16 with respect to the Issuer, since it is not currently a 10% owner. |