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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) | 74,821 | 05/11/2012 | 05/10/2016 | Common Stock | 74,821 | $ 0 | 0 | D | ||||
Warrant (Right to Buy) | $ 2.6 | 05/04/2016 | A(1) | 74,821 | 05/11/2012 | 05/10/2017 | Common Stock | 74,821 | $ 0 | 74,821 | D | ||||
Warrant (Right to Buy) | $ 2.6 | 05/04/2016 | D(1) | 1,786 | 05/11/2012 | 05/10/2016 | Common Stock | 1,786 | $ 0 | 0 | I | See footnote (2) | |||
Warrant (Right to Buy) | $ 2.6 | 05/04/2016 | A(1) | 1,786 | 05/11/2012 | 05/10/2017 | Common Stock | 1,786 | $ 0 | 1,786 | I | See footnote (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Innes Guy Archibald 1 SCOTTS ROAD, #24-05 SHAW CENTRE SINGAPORE, U0 228208 |
X |
/s/ Guy Archibald Innes | 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 four reported transactions involved an amendment of two outstanding warrants, resulting in the deemed cancellation of the "old" warrants and the grant of two "replacement" warrants. The warrants were originally granted on May 11, 2012 with an expiration date of May 10, 2016. The expiration date of the warrants was extended one year to May 10, 2017. |
(2) | The foregoing warrant was placed in a bare trust, which is not a separate legal entity, of which Mr. Innes is the Trustee, for the benefit of certain minors. |