|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant to Purchase Common Stock | $ 7 (2) | 07/17/2007 | 07/17/2012 | Common Stock | 40,670 | 40,670 | D (1) | ||||||||
Warrant to Purchase Common Stock | $ 4 | 09/02/2008 | 09/02/2015 | Common Stock | 600,000 | 600,000 | D (1) | ||||||||
Series C Convertible Preferred Stock | $ 4 | 09/02/2008 | 08/31/2015 | Common Stock | 1,250,000 | 5,000 (3) | D (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MATHEWSON CHARLES N 9295 PROTOTYPE DRIVE RENO, NV 89502 |
X |
Charles N. Mathewson, Trustee | 03/18/2009 | |
**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) | All holdings noted represent holdings by the reporting person in his capacity as sole trustee of The Charles N. Mathewson Trust dtd 7/22/92. |
(2) | Exercise price of the warrant was automatically reset, effective September 2, 2008, from its original exercise price of $8.05 pursuant to antidilution provisions in the warrant. |
(3) | Each share of Series C Convertible Preferred Stock is convertible into 250 shares of Common Stock based on a face value of $1,000 per share and a conversion price of $4.00 per share. |