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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 to Purchase Common Stock | $ 3.86 | 05/19/2004 | 05/18/2009 | Common Stock | 80,875 | 80,875 | I | Footnote 1 (1) | |||||||
Warrant to Purchase Common Stock | $ 4.03 | 05/19/2004 | 05/18/2009 | Common Stock | 77,505 | 77,505 | I | Footnote 1 (1) | |||||||
Warrant to Purchase Common Stock | $ 3.61 | 05/19/2004 | 05/18/2009 | Common Stock | 15,506 | 15,506 | I | Footnote 2 (2) | |||||||
Warrant to Purchase Common Stock | $ 3.86 | 05/19/2004 | 05/18/2009 | Common Stock | 21,998 | 21,998 | D (7) | ||||||||
Warrant to Purchase Common Stock | $ 4.03 | 05/19/2004 | 05/18/2009 | Common Stock | 21,081 | 21,081 | D (7) | ||||||||
6% Convertible Debenture | $ 3.61 | 05/19/2004 | 05/19/2009 | Common Stock | 88,644 | 88,644 (6) | I | Footnote 5 (5) | |||||||
Warrant to Purchase Common Stock | $ 3.86 | 05/19/2004 | 05/18/2009 | Common Stock | 10,352 | 10,352 | I | Footnote 5 (5) | |||||||
Warrant to Purchase Common Stock | $ 4.03 | 05/19/2004 | 05/18/2009 | Common Stock | 9,920 | 9,920 | I | Footnote 5 (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RILEY BRYANT R 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES, CA US 90025 |
X | |||
Riley Investment Partners Master Fund, L.P. 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES, CA US 90025 |
X | |||
Riley Investment Management LLC 11100 SANTA MONICA BLVD., SUITE 810 LOS ANGELES, CA US 90025 |
X |
/s/ Bryant Riley | 07/17/2007 | |
**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) | Sole equity owner of Riley Investment Management LLC, General Partner of Riley Investment Partners Master Fund, L.P. |
(2) | Bryant Riley, as controlling shareholder of B. Riley and Co. Inc. |
(3) | Bryant Riley, as trustee of the B. Riley and Co. Retirement Trust. |
(4) | Indirect holder of an investment advisory account managed by Riley Investment Management LLC. |
(5) | Bryant Riley, as custodian for his children. Reporting Persons disclaim beneficial ownership of these securities. |
(6) | As converted to common stock basis. |
(7) | Bryant Riley, as holder of a joint account with spouse. |