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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 | |
Microbial Robotics, LLC PO BOX 30085 CINCINNATI, OH 45230 |
X | |||
Barkeloo Jason Eric PO BOX 30085 CINCINNATI, OH 45230 |
X |
/s/ Jason E. Barkeloo, Chief Executive Officer of Microbial Robotics, LLC | 12/04/2014 | |
**Signature of Reporting Person | Date | |
/s/ Jason E. Barkeloo | 12/04/2014 | |
**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 shares of common stock are owned directly by Jason E. Barkeloo ("Mr. Barkeloo"), a reporting person hereunder. |
(2) | The shares of common stock are owned directly by Microbial Robotics, LLC (f/k/a Bacterial Robotics) ("Microbial Robotics"). As managing member and Chief Executive Officer of Microbial Robotics and by virtue of the Voting Agreement, dated January 28, 2014, by and among the Company and members of Pilus Energy (the "Voting Agreement"), as disclosed in the reporting persons' Schedule 13D/A filed with the Securities and Exchange Commission on August 22, 2014, Mr. Barkeloo may be deemed to beneficially own the shares of common stock held by Microbial Robotics. |