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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 | ||||||||
Director Stock Option (right to buy) | $ 4.31 | 12/22/2006 | 12/22/2014 | Common Stock, $.001 par value | 15,029 | 15,029 | D | ||||||||
Director Stock Option (right to buy) | $ 5.01 | 04/26/2006 | 04/26/2016 | Common Stock | 15,000 | 15,000 | D | ||||||||
Director Stock Option (right to buy) | $ 6.49 | 12/13/2009 | 12/13/2016 | Common Stock | 15,000 | 15,000 | D | ||||||||
Director Stock Option (right to buy) | $ 4.85 | (3) | 06/18/2017 | Common Stock | 15,000 | 15,000 | D | ||||||||
Stock Option (right to buy) | $ 2.73 | (4) | 12/12/2017 | Common Stock | 20,000 | 20,000 | D | ||||||||
Stock Option (right to buy) | $ 0.7 | (5) | 05/13/2019 | Common Stock | 15,000 | 15,000 | D | ||||||||
Warrants to Purchase common stock | $ 4.02 | 12/09/2009 | 12/09/2014 | Common Stock | 87,500 | 87,500 | D | ||||||||
Stock Option (right to buy) | $ 2.85 | (6) | 12/31/2019 | Common Stock, $.001 par value | 7,500 | 7,500 | D | ||||||||
Stock Option (right to buy) | $ 5.09 | 03/31/2010 | A | 15,000 | 03/31/2011 | 03/31/2020 | Common Stock, $.001 par value | 15,000 | $ 0 | 15,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CANNON JAMES ANTHONY BBDO 1285 AVENUE OF THE AMERICAS NEW YORK, NY 10019 |
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/s/ James A. Cannon | 04/01/2010 | |
**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) | Grant of restricted stock; restrictions lapse on the anniversary of the date of grant. |
(2) | In addition to the current grant, includes a prior grant of restricted stock with restrictions that will lapse as to 3,750 shares on each of December 31, 2010 and December 31, 2011. |
(3) | 5,000 shares vest on each of 6/18/08, 6/18/09 and 6/18/10. |
(4) | 6,667 shares vest on each of 12/12/08 and 12/12/09; 6,666 shares vest on 12/12/10. |
(5) | 5,000 shares vest on each of 12/31/09, 6/30/2010 and 12/31/2010. |
(6) | 3,750 shares vest on each of 12/31/2010 and 12/31/2011. |