|
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 | ||||||||
Series B Warrant | $ 4.25 | 07/05/2007 | X | 136,360 | 05/15/2007 | 11/15/2011 | Common Stock | 136,360 | $ 0 | 0 | D (6) | ||||
Series B Warrant | $ 4.25 | 07/05/2007 | X | 0 | 05/15/2007 | 11/15/2011 | Common Stock | 0 | $ 0 | 0 | I | Footnote (7) | |||
Series B Warrant | $ 4.25 | 07/05/2007 | X | 101,720 | 05/15/2007 | 11/15/2011 | Common Stock | 101,720 | $ 0 | 0 | D (8) | ||||
Series B Warrant | $ 4.25 | 07/05/2007 | X | 0 | 05/15/2007 | 11/15/2011 | Common Stock | 0 | $ 0 | 0 | I | Footnote (9) | |||
Series B Warrant | $ 4.25 | 07/05/2007 | X | 7,920 | 05/15/2007 | 11/15/2011 | Common Stock | 7,920 | $ 0 | 0 | I | Footnote (10) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
FEINBERG JEFF C/O JLF ASSET MANAGEMENT, LLC 2775 VIA DE LA VALLE, SUITE 204 DEL MAR, CA 92014 |
X | |||
JLF OFFSHORE FUND LTD PO BOX 896, HARBOUR CENTRE 2ND FL, NORTH CHURCH ST GRAND CAYMAN, BRITISH W INDIES, E9 00000 |
X | |||
JLF PARTNERS I, L.P. 2775 VIA DE LA VALLE SUITE 204 DEL MAR, CA 92014 |
X |
/s/ Jeffrey L. Feinberg(+) | 07/09/2007 | |
**Signature of Reporting Person | Date | |
JLF Offshore Fund, Ltd. (+), By: /s/ Jeffrey L. Feinberg, as Managing Member of JLF Asset Management, L.L.C., its investment manager | 07/09/2007 | |
**Signature of Reporting Person | Date | |
JLF Partners I, L.P.(+), By: /s/ Jeffrey L. Feinberg, as Managing Member of JLF Asset Management, L.L.C., its management company | 07/09/2007 | |
**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) | These securities are owned by JLF Offshore Fund, Ltd. (the "Fund"), which is a Reporting Person. |
(2) | These securities are held in the account of the Fund. Jeffrey Feinberg has investment discretion over these securities by virtue of Jeffrey Feinberg's position in the investment manager of the Fund. |
(3) | These securities are owned by JLF Partners I, L.P. (the "Partnership"), which is a Reporting Person. |
(4) | These securities are held in the account of the Partnership. Jeffrey Feinberg has investment discretion over these securities by virtue of Jeffrey Feinberg's position in the management company of the Partnership. |
(5) | These securities are held in the account of a private investment vehicle over which Jeffrey Feinberg has investment discretion by virtue of his position in the management company of said entity. |
(6) | These securities were owned by the Fund, which is a Reporting Person. |
(7) | These securities were held in the account of the Fund. Jeffrey Feinberg had investment discretion over these securities by virtue of Jeffrey Feinberg's position in the investment manager of the Fund. |
(8) | These securities were owned by the Partnership, which is a Reporting Person. |
(9) | These securities were held in the account of the Partnership. Jeffrey Feinberg had investment discretion over these securities by virtue of Jeffrey Feinberg's position in the management company of the Partnership. |
(10) | These securities were held in the account of a private investment vehicle over which Jeffrey Feinberg had investment discretion by virtue of his position in the management company of said entity. |
Remarks: (+) The Reporting Persons hereby disclaim beneficial ownership over the securities reported on this Form 4 except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that the Reporting Persons are the beneficial owners of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. |