3: Initial statement of beneficial ownership of securities
Published on September 10, 2014
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant to Purchase Common Stock | 04/01/2014 | 03/31/2017 | Common Stock | 1,057,693.084 (1) | $ 2.34 | I | By Alpha Venture Capital Parnters, L.P. |
Warrant to Purchase Common Stock | 04/01/2014 | 03/31/2017 | Common Stock | 96,153.916 (1) | $ 2.34 | I | By Alpha Venture Capital Fund, L.P. |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
DOCKERY CARL P.O. BOX 2477 LAKELAND, FL 33806-2477 |
See remarks | |||
ALPHA ADVISORS, LLC P.O. BOX 2477 LAKELAND, FL 33806-2477 |
See remarks | |||
Alpha Venture Capital Partners, L.P. P.O. BOX 2477 LAKELAND, FL 33806 |
X |
Signatures
/s/Carl Dockery | 09/10/2014 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | If the form is filed by more than one reporting person, see Instruction 5(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) | Between April 1, 2014 and the date of filing of this Form 3, the Common Shares underwent a 1-for-6 reverse stock split. All stockholdings identified in this Form 3 represent post-stock split numbers. As of April 1, 2014 and on the date of filing of this Form 3, AA and Dockery owned beneficially 1,153,847 Common Shares and warrants to purchase 1,153,847 Common Shares. Of such Common Shares AVCP directly owned 1,057,693.084 Common Shares and warrants to purchase 1,057,693.084 Common Shares and AVCF directly owned 96,153.916 Common Shares and warrants to purchase 96,153.916 Common Shares. |
Remarks: The securities reported on this Form 3 are owned directly by Alpha Venture Capital Partners, L.P. or Alpha Venture Capital Fund, L.P. as set forth in the following note. As the investment advisor of Alpha Venture Capital Partners, L.P. and Alpha Venture Capital Fund, L.P., Alpha Advisors, LLC has the power to vote and dispose of the Common Shares held by Alpha Venture Capital Partners, L.P. and Alpha Venture Capital Fund, L.P. Carl Dockery is the sole member and manager of Alpha Advisors, LLC. As a party in direct control of Alpha Advisors, LLC, Carl Dockery may be deemed to have dispository and voting power over the Common Shares. However, Carl Dockery disclaims beneficial ownership over the Common Shares. Alpha Advisors, LLC and Carl Dockery do not directly receive dividends or proceeds of sale from the securities owned by Alpha Venture Capital Partners, L.P. or Alpha Venture Capital Fund, L.P. |