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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Cordani Peter 1460 PARK LANE SOUTH SUITE 1 JUPITER, FL 33458 |
X | Chief Technology Officer |
/s/ Peter Cordani | 09/26/2008 | |
**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) | Dyn-O-Mat, Inc. ("Dyn-O-Mat") exchanged shares of its common stock with its shareholders who became owners of the shares reported as sold. Dyn-O-Mat received shares of its common stock from the shareholders who received GelTech Solutions, Inc. ("GelTech") common stock. |
(2) | The reporting person controls Dyn-O-Mat by virtue of his ownership of super voting preferred stock. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this Form 4 shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |
(3) | The shares were sold in a private transaction. |
(4) | As of the date of this transaction, the reporting person was the sole member, but not the manager, of this limited liability company. Therefore, he had the sole pecuniary interest in these shares. However, as of the date of this Form 4, the reporting person was the sole member and manager of this limited liability company. |
(5) | Of the shares sold, 15,151 shares were sold to a director of GelTech. |
(6) | The shares were sold to a director of GelTech. |
(7) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein, and the inclusion of these shares in this Form 4 shall not be deemed an admission of beneficial ownership of all the reported shares for purposes of Section 16 or for any other purpose. |