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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 | ||||||||
COMMON STOCK WARRANT (RIGHT TO BUY) | $ 6.375 | 09/22/2014 | D(1) | 2,000,000 | 12/31/2013 | 09/24/2014(1) | COMMON STOCK | 2,000,000 | $ 2.625 | 2,000,000 | D | ||||
COMMON STOCK WARRANT (RIGHT TO BUY) | $ 6.375 | 09/22/2014 | A(1) | 2,000,000 | 12/31/2013 | 09/24/2015(1) | COMMON STOCK | 2,000,000 | $ 2.725 | 2,000,000 | D | ||||
COMMON STOCK WARRANT (RIGHT TO BUY) | $ 6.375 | 09/24/2015 | D(2) | 2,000,000 | 12/31/2013 | 09/24/2015(2) | COMMON STOCK | 2,000,000 | $ 2.725 | 2,000,000 | D | ||||
COMMON STOCK WARRANT (RIGHT TO BUY) | $ 6.375 | 09/24/2015 | A(2) | 2,000,000 | 12/31/2013 | 01/24/2017(2) | COMMON STOCK | 2,000,000 | $ 2.9 | 2,000,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DFR Holdings, LLC C/O COLUMBUS NOVA 900 THIRD AVENUE, 19TH FLOOR NEW YORK, NY 10022 |
X | X |
/s/ Andrew Intrater | 10/19/2015 | |
**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 two reported transactions involved an amendment and restatement of an outstanding warrant to purchase the Issuer's common stock (the "Original Warrant"), which extended the expiration date of the Original Warrant to September 24, 2015 for total consideration of $200,000, resulting in the deemed cancellation of the Original Warrant and the grant of a replacement warrant (the "Replacement Warrant"). These transactions are exempt from Section 16(b) of the Securities Exchange Act of 1934, as amended (the "Act") under Rule 16b-3 under the Act. The Original Warrant was issued on December 31, 2013. |
(2) | The two reported transactions involved an amendment of the Replacement Warrant, which extended the expiration date of the Replacement Warrant to January 24, 2017 for total consideration of $350,000, resulting in the deemed cancellation of the Replacement Warrant and the grant of a new warrant. These transactions are exempt from Section 16(b) of the Act under Rule 16b-3 under the Act. |