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, 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. | 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 | ||||
Series E Common Stock Purchase Warrant | Â (1) | 03/28/2018 | Common Stock | 48,441 | $ 13.65 | D | Â |
Series F Common Stock Purchase Warrant | Â (1) | 08/11/2018 | Common Stock | 24,421 | $ 13.65 | D | Â |
Series G Common Stock Purchase Warrant | Â (1) | 08/11/2018 | Common Stock | 8,141 | $ 15.6 | D | Â |
Series H Common Stock Purchase Warrant | Â (1) | 08/11/2018 | Common Stock | 8,141 | $ 17.55 | D | Â |
Series A Convertible Preferred Stock | Â (2) | Â (2) | Common Stock | 118,375 | $ 3.7713 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Ward Joseph 134 AVOCADO STREET SPRINGFIELD, MA 01104 |
 X |  |  Chief Operating Officer |  |
/s/ Joseph Ward | 10/03/2013 | |
**Signature of Reporting Person | Date |
* | 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) | These warrants were issued pursuant to an agreement of merger entered into as of July 26, 2013 by and among the Issuer and vest immediately. |
(2) | Each share of Series A Preferred Stock is convertible at the option of the Holder into that number of shares of Common Stock of the Corporation equal to (a) the Face Value of such share of Series A Preferred Stock, divided by $1,000 face value, (b) a per share price of the Common Stock of $3.7713 per share. The Series A stock is immediately exercisable and has no expiration date. |