1
|
NAME
OF REPORTING PERSON
WHEATLEY MEDTECH PARTNERS, L.P.
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC
USE ONLY
|
||
4
|
SOURCE
OF FUNDS
WC, OO
|
||
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE
|
||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE
VOTING POWER
2,169,592(2)
|
|
8
|
SHARED
VOTING POWER
- 0 -
|
||
9
|
SOLE
DISPOSITIVE POWER
2,169,592(2)
|
||
10
|
SHARED
DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,169,592(2)
|
||
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.3%
|
||
14
|
TYPE
OF REPORTING PERSON
PN
|
1
|
NAME
OF REPORTING PERSON
WHEATLEY NEW YORK PARTNERS LP
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC
USE ONLY
|
||
4
|
SOURCE
OF FUNDS
WC, OO
|
||
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
DELAWARE
|
||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE
VOTING POWER
3,167,857(3)
|
|
8
|
SHARED
VOTING POWER
- 0 -
|
||
9
|
SOLE
DISPOSITIVE POWER
3,167,857(3)
|
||
10
|
SHARED
DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,167,857(3)
|
||
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.5%
|
||
14
|
TYPE
OF REPORTING PERSON
PN
|
1
|
NAME
OF REPORTING PERSON
WOODLAND VENTURE FUND
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC
USE ONLY
|
||
4
|
SOURCE
OF FUNDS
WC, OO
|
||
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
NEW YORK
|
||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE
VOTING POWER
125,560(4)
|
|
8
|
SHARED
VOTING POWER
- 0 -
|
||
9
|
SOLE
DISPOSITIVE POWER
125,560(4)
|
||
10
|
SHARED
DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
125,560(4)
|
||
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.4%
|
||
14
|
TYPE
OF REPORTING PERSON
PN
|
1
|
NAME
OF REPORTING PERSON
SENECA VENTURES
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC
USE ONLY
|
||
4
|
SOURCE
OF FUNDS
WC, OO
|
||
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
NEW YORK
|
||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE
VOTING POWER
94,170(5)
|
|
8
|
SHARED
VOTING POWER
- 0 -
|
||
9
|
SOLE
DISPOSITIVE POWER
94,170(5)
|
||
10
|
SHARED
DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
94,170(5)
|
||
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3%
|
||
14
|
TYPE
OF REPORTING PERSON
PN
|
1
|
NAME
OF REPORTING PERSON
BRMR, LLC
|
||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
(a) o
(b) o
|
|
3
|
SEC
USE ONLY
|
||
4
|
SOURCE
OF FUNDS
WC, OO
|
||
5
|
CHECK
BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d)
OR 2(e)
|
¨
|
|
6
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
NEW YORK
|
||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE
VOTING POWER
62,780(6)
|
|
8
|
SHARED
VOTING POWER
- 0 -
|
||
9
|
SOLE
DISPOSITIVE POWER
62,780(6)
|
||
10
|
SHARED
DISPOSITIVE POWER
- 0 -
|
||
11
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
62,780(6)
|
||
12
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES
|
¨
|
|
13
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.2%
|
||
14
|
TYPE
OF REPORTING PERSON
OO
|
Dated:
June 20, 2008
|
WHEATLEY
MEDTECH PARTNERS, L.P.
|
|
By:
|
Wheatley
MedTech Partners, LLC
its
general partner
|
|
By:
|
/s/ Barry Rubenstein | |
Barry
Rubenstein,
Chief
Executive Officer
|
WHEATLEY
NEW YORK PARTNERS LP
|
||
By:
|
Wheatley
NY Partners LLC
its
general partner
|
|
By:
|
/s/ Barry Rubenstein | |
Barry
Rubenstein,
|
||
Chief
Executive Officer
|
WOODLAND
VENTURE FUND
|
||
By:
|
/s/ Barry Rubenstein | |
Barry
Rubenstein,
|
||
General
Partner
|
SENECA
VENTURES
|
||
By:
|
/s/ Barry Rubenstein | |
Barry
Rubenstein,
|
||
General
Partner
|
BRMR,
LLC
|
||
By:
|
/s/ Barry Rubenstein | |
Barry
Rubenstein,
|
||
Chief
Executive Officer
|
Reporting
Person
|
Class
of
Security
|
Number
of Shares
Acquired
|
Consideration
|
Date
of
Purchase
|
Where
and how the
transaction
was effected
|
Wheatley
MedTech
|
Common
Stock
|
1,120,000
|
$280,000.00
|
June
10, 2008
|
Private
Placement
|
Wheatley
New York
|
Common
Stock
|
1,680,000
|
$420,000.00
|
June
10, 2008
|
Private
Placement
|
Exhibit
|
1. Amended
and Restated Joint Filing Agreement by and between Wheatley MedTech,
Wheatley New York, Woodland, Seneca and BRMR, dated December 21, 2007
(filed previously).
|
2. Registration
Rights Agreement, dated as of November 29, 2007, by and among the Issuer
and the investors identified therein (incorporated by reference to Exhibit
4.2 of the Issuer’s Current Report on Form 8-K filed with the SEC on
December 19, 2007).
|
3. Joint
Filing Agreement by and between Wheatley MedTech and Wheatley New York,
dated December 8, 2006 (filed previously).
|
4. Escrow
Agreement, dated as of November 29, 2006, by and among the Issuers, David
Dantzker as Representative of the former Q-RNA, Inc. stakeholders, and
Empire Stock Transfer, as escrow agent (filed
previously).
|
5. Stockholders’
Agreement by Reuben Seltzer and Alan Kestenbaum and the individuals listed
on Schedule A thereto, dated as of November 29, 2006 (filed
previously).
|
6. Registration
Rights Agreement by and among the Issuer and David Dantzker as
Representative of the former Q-RNA, Inc. stakeholders dated as of November
29, 2006 (incorporated by reference to Exhibit 4.1 of the Issuer’s
Periodic Report on Form 8-K filed with the SEC on December 5,
2006).
|
7. Registration
Rights Agreement between the Issuer and the individuals listed on Schedule
A thereto, dated as of November 29, 2006 (incorporated by reference to
Exhibit 4.2 of the Issuer’s Periodic Report on Form 8-K filed with the SEC
on December 5, 2006).
|