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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 | ||||||||
Warrant (Right to Buy) | $ 2.6 | 05/04/2016 | D(1) | 5,000 | 05/11/2012 | 05/10/2016 | Common Stock | 5,000 | $ 0 | 0 | I (2) | Borlaug Limited | |||
Warrant (Right to Buy) | $ 2.6 | 05/04/2016 | A(1) | 5,000 | 05/11/2012 | 05/10/2017 | Common Stock | 5,000 | $ 0 | 5,000 | I (2) | Borlaug Limited |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Micallef Jacob Vincent 1 SCOTTS ROAD #24-05 SHAW CENTRE SINGAPORE, U0 228208 |
Chief Scientific Officer |
/s/Jacob Micallef | 05/06/2016 | |
**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 two reported transactions involved an amendment of an outstanding warrant, resulting in the deemed cancellation of the "old" warrant and the grant of a "replacement" warrant. The warrant was originally granted on May 11, 2012 with an expiration date of May 10, 2016. The warrant expiration date was extended one year to May 10, 2017. |
(2) | The warrant is owned of record by Borlaug Limited, a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the Common Stock issuable to Borlaug Limited upon the exercise of the warrant. Dr. Micallef disclaims beneficial ownership of the Common Stock issuance upon exercise of the warrant, except to the extent of his pecuniary interest therein. |