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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 | ||||||||
STOCK OPTION | (1) | 02/26/2010 | D | 100,000 (1) | (1) | (1) | COMMON STOCK | 100,000 | (1) | 34,143 (2) (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BEYER HANS CHRISTIAN 3111 W. DR. MARTIN LUTHER KING BLVD. SUITE 100 TAMPA, FL 33607 |
X |
/s/ HANS C. BEYER | 04/22/2010 | |
**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) | The Issuer redeemed from the Reporting Person (a) options exercisable for 50,000 shares of common stock and an exercise price of $1.14, and (b) options exercisable for 50,000 shares of common stock and an exercise price of $1.11 |
(2) | Consists of (a) 13,333 common shares issuable upon exercise of the Company's Series A Preferred stock directly owned by Mr. Beyer, (b) 13,333 common shares issuable upon exercise of the Company's Series A Common Stock Purchase Warrant directly owned by Mr. Beyer, (c) 810 common shares issuable upon exercise of another of the Company's Series A Common Stock Purchase Warrant directly owned by Mr. Beyer, and (d) 6,667 common shares issuable upon exercise of the Company's Series B Common Stock Purchase Warrant directly owned by Mr. Beyer . |
(3) | Amounts do not include common shares or derivative securities owned by Apogee Financial Investments, Inc. Pursuant to Rule 16a-1(ii)(D), the Reporting Person is considered not to have an "indirect pecuniary interest" in securities owned by Apogee Financial Investments, Inc. In previous Form 4 filings, the Reporting Person was improperly reported as have a beneficial ownership interest in common shares and derivative securities owned by Apogee Financial Investments, Inc. |