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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 | ||||||||
Warrants | $ 5.75 | 12/18/2013 | P | 19,800 | (1) | (1) | Common Stock | 9,900 | $ 0.4 | 19,800 | D | ||||
Warrants | $ 5.75 | 12/30/2013 | P | 10,300 | (1) | (1) | Common Stock | 5,150 | $ 0.4787 (2) | 30,100 | D | ||||
Warrants | $ 5.75 | 12/31/2013 | P | 19,900 | (1) | (1) | Common Stock | 9,950 | $ 0.5055 (3) | 50,000 | D | ||||
Warrants | $ 5.75 | 01/02/2014 | P | 30,000 | (1) | (1) | Common Stock | 15,000 | $ 0.5841 (4) | 80,000 | D | ||||
Warrants | $ 5.75 | 01/03/2014 | P | 15,000 | (1) | (1) | Common Stock | 7,500 | $ 0.5766 (5) | 95,000 | D | ||||
Warrants | $ 5.75 | 01/06/2014 | P | 20,000 | (1) | (1) | Common Stock | 10,000 | $ 0.5646 (6) | 115,000 | D | ||||
Warrants | $ 5.75 | 01/07/2014 | P | 5,000 | (1) | (1) | Common Stock | 2,500 | $ 0.55 | 120,000 | D | ||||
Warrants | $ 5.75 | 01/09/2014 | P | 5,000 | (1) | (1) | Common Stock | 2,500 | $ 0.5 | 125,000 | D | ||||
Warrants | $ 5.75 | 01/13/2014 | P | 146,000 | (1) | (1) | Common Stock | 73,000 | $ 0.5623 (7) | 271,000 | D | ||||
Warrants | $ 5.75 | 01/14/2014 | P | 124,020 | (1) | (1) | Common Stock | 62,010 | $ 0.5854 (8) | 395,020 | D | ||||
Warrants | $ 5.75 | 01/15/2014 | P | 80,998 | (1) | (1) | Common Stock | 40,449 | $ 0.6059 (9) | 476,018 | D | ||||
Warrants | $ 5.75 | 01/22/2014 | P | 23,982 | (1) | (1) | Common Stock | 11,991 | $ 0.7 (10) | 500,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
McNamara James Marvin 1450 2ND STREET SUITE 247 SANTA MONICA, CA 90401 |
X |
/s/ Laura Rosenblum, Attorney-in-Fact | 02/05/2014 | |
**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) | Exercisable beginning on the later of one year from the closing of the Issuer's initial public offering (the "Offering") or 30 days after the completion of the Issuer's initial business combination and will expire worthless if the Issuer does not complete an initial business combination within 21 months from the closing of the Offering, or 24 months from the closing of the Offering if the Issuer has executed a letter of intent, agreement in principle or definitive agreement for an initial business combination within 21 months from the closing of the Offering. |
(2) | Represents the weighted average price of warrants acquired at prices ranging from $0.46 to $0.50. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(3) | Represents the weighted average price of warrants acquired at prices ranging from $0.45 to $0.60. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(4) | Represents the weighted average price of warrants acquired at prices ranging from $0.5799 to $0.60. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(5) | Represents the weighted average price of warrants acquired at prices ranging from $0.57 to $0.58. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(6) | Represents the weighted average price of warrants acquired at prices ranging from $0.55 to $0.57. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(7) | Represents the weighted average price of warrants acquired at prices ranging from $0.5499 to $0.58. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(8) | Represents the weighted average price of warrants acquired at prices ranging from $0.5499 to $0.60. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(9) | Represents the weighted average price of warrants acquired at prices ranging from $0.58 to $0.62. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |
(10) | Represents the weighted average price of warrants acquired at prices ranging from $0.699 to $0.70. The reporting person will provide the details of such transactions to the Securities and Exchange Commission, the issuer or any shareholder of the issuer upon request. |