UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant to Purchase Common Stock | 08/12/2008 | 09/12/2015 | Common Stock | 406,641 | $ 3.53 | D | Â |
Warrant to Purchase Units | 02/11/2009 | 08/11/2009 | See Footnote (1) | 558,510 | $ 2.82 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
INVESTOR GROWTH CAPITAL LTD CANADA COURT UPLAND ROAD, ST. PETER PORT GUERNSEY, CHANNEL ISLANDS, X0 GY1 3BQ |
 |  X |  |  |
/s/ Michael Oporto, Attorney-in-Fact | 12/09/2008 | |
**Signature of Reporting Person | Date | |
/s/ Henry Gooss, Attorney-in-Fact | 12/09/2008 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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 Unit Warrants are exercisable for Units, which consist of one share of Common Stock plus a warrant to purchase 0.25 shares of Common Stock. The warrants underlying the Unit Warrants will, upon exercise, be immediately exercisable at a price of $3.53 per share and will expire on 8/12/2015. |