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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 | ||||||||
Series H Warrants | $ 8 | 04/29/2011 | X(5) | 52,084 | 04/18/2006 | 04/30/2011 | Common Stock | 52,084 | (6) | 0 | I | By Comvita Limited (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hewlett Brett WILSON ROAD SOUTH PRIVATE BAG 1 TE PUKE, Q2 3189 |
X | X |
/s/ Brett Hewlett | 05/02/2011 | |
**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). |
(1) | The acquisition of the securities reported herein resulted from the exercise by Comvita Limited of a derivative security (Series H Warrant) exempt under Rule 16b-6(b). |
(2) | The securities reported herein are held by Comvita Limited. Brett Hewlett is the Chief Executive Officer of Comvita Limited and therefore may be deemed to share voting and investment power with respect to these securities held by Comvita Limited. Mr. Hewlett disclaims beneficial ownership of these securities held by Comvita Limited. |
(3) | The disposition of the securities reported herein resulted from the payment of exercise price by withholding underlying securities incident to the exercise by Comvita Limited of a derivative security (Series H Warrant) exempt under Rule 16b-6(b). |
(4) | Reflects 45,537 underlying securities withheld by the Issuer at a 10-day average market price of $9.15 per share less an exercise price of $8.00 per share to fund the exercise price of the derivative security (Series H Warrant) exercised to acquire 6,547 underlying securities. |
(5) | The disposition of the securities reported herein resulted from the exercise by Comvita Limited of an in-the-money derivative security (Series H Warrant) exempt under Rule 16b-6(b). |
(6) | The securities reported herein were originally issued to a wholly-owned subsidiary of Comvita Limited in 2006 and were subsequently distributed by the subsidiary to Comvita Limited without payment of cash consideration. The distribution from subsidiary to Comvita Limited effected a change in the form of beneficial ownership exempt under Rule 16a-13 and was reported on Form 4 of Reporting Person filed April 8, 2010. |