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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 01/21/2004 | 10/31/2010 | Common Shares | Â | 822,632 | Â | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 12/21/2005 | 10/31/2010 | Common Shares | Â | 1,448,057 | Â | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 08/20/2009 | 10/31/2010 | Common Shares | Â | 7,500 | Â | ||
Option to Purchase Common Shares | $ 2.3 | Â | Â | Â | Â | Â | Â (3) | 07/01/2014 | Common Shares | Â | 50,000 | Â | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 01/21/2004 | 10/31/2010 | Common Shares | Â | 72,604 | By Greenbelt Corp. | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 12/21/2005 | 10/31/2010 | Common Shares | Â | 262,028 | By Greenbelt Corp. | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 08/20/2009 | 10/31/2010 | Common Shares | Â | 3,000 | By Greenbelt Corp. | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | Â (4) | 10/31/2010 | Common Shares | Â | 347,580 | By Greenway Partners, LP | ||
Warrant to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 08/20/2009 | 10/31/2010 | Common Shares | Â | 6,125 | By Greenway Partners, LP |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KINGSLEY ALFRED D 150 E. 57TH STREET NEW YORK, NY 10022 |
 X |  X |  |  |
/s/ Alfred D. Kingsley | 02/15/2010 | |
**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) | During December 2009, Mr. Kingsley gifted a total of 18,000 shares. |
(2) | Does not include shares that Mr. Kingsley may acquire through the exercise of warrants and options. |
(3) | 12,500 options became exercisable on September 30, 2009; 12,500 options became exercisable on December 31, 2009; and the remaining 25,000 options will become exercisable in 2 equal quarterly installments based upon continued service on the board of directors. |
(4) | Exercisable on issuance. |