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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 | ||||||||
Stock Options | $ 2.9 | (1) | 06/12/2014 | Common Stock, $0.00001 par value | 3,000 | 3,000 | D | ||||||||
Stock options | $ 1 | (1) | 08/12/2015 | Common stock, $0.00001 par value | 1,000 | 1,000 | D | ||||||||
Warrants | $ 0.5 | (1) | 12/31/2012 | Common Stock, $0.00001 par value | 4,000 | 4,000 | D | ||||||||
Warrants | $ 0.5 | (1) | 12/31/2012 | Common stock, $0.00001 par value | 2,000 | 2,000 | I | By Noble Ventures, of which reporting person is the majority owner | |||||||
Stock Options | $ 0.85 | (1) | 03/03/2016 | Common stock, $0.00001 par value | 20,000 | 20,000 | D | ||||||||
Stock options | $ 1.25 | (1) | 08/11/2016 | Common stock, $0.00001 par value | 1,000 | 1,000 | D | ||||||||
Stock Options | $ 1.5 | (2) | 09/29/2016 | Common stock, $0.00001 par value | 30,000 | 30,000 | D | ||||||||
Warrants | $ 1.3 | (1) | 01/07/2014 | Common stock, $0.00001 par value | 19,986 | 19,986 | D | ||||||||
Warrants | $ 1.3 | (1) | 11/12/2012 | Common stock, $0.00001 par value | 10,000 | 10,000 | D | ||||||||
Warrants | $ 1.3 | (1) | 07/12/2013 | Common stock, $0.00001 par value | 10,000 | 10,000 | I | Held by Noble Ventures, of which reporting person is the majority owner. | |||||||
Warrants | $ 1.3 | (1) | 11/12/2012 | Common stock, $0.00001 par value | 4,756 | 4,756 | I | By Noble Ventures, of which reporting person is majority owner. | |||||||
Warrants | $ 1.3 | (1) | 08/02/2013 | Common stock, $0.00001 par value | 10,000 | 10,000 | I | By Noble ventures, of which reporting person is majority owner | |||||||
Warrants | $ 1.3 | (1) | 08/02/2010 | Commons stock, $0.00001 par value | 10,000 | 10,000 | D | ||||||||
Options | $ 1.72 | (1) | 08/10/2017 | Common stock, $0.00001 par value | 14,535 | 14,535 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rudelius Robert James 1525 LINCOLN CIRCLE #401 MCCLEAN, VA 22102 |
X |
Richard B. Thon by power of attorney | 08/12/2010 | |
**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) | Currently exercisable |
(2) | Options shall vest on the latter of the date that the Company is cleared by the FDA to sell the ProUroScan System in the United States or the date the Company closes on an aggregate of $2,000,000 or more of incremental equity financing after the date of grant(including the exercise of existing warrants). |
(3) | Shares issued in lieu of cash for directors' fees as approved by the issuer's Board of Directors, which are exempt under Section 16b-3(d). |