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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 | ||||||||
SERIES BD WARRANT | (1) | 08/11/2011 | E | 109,419 (1) | (1) | (1) | COMMON STOCK | 109,419 | (1) | 16,755,074 (1) (5) | I (6) | BY SPOUSE | |||
SERIES A WARRANT | (2) | 08/11/2011 | E | 33,334 (2) | (2) | (2) | COMMON STOCK | 33,334 | (2) | 16,731,740 (2) | I (6) | BY SPOUSE | |||
SERIES A WARRANT | (3) | 12/04/2011 | E | 2,024 (3) | (3) | (3) | COMMON STOCK | 2,024 | (3) | 16,719,716 (3) | I (6) | BY SPOUSE | |||
OPTION AGREEMENT | (4) | 03/31/2012 | E | 16,703,049 (4) | (4) | (4) | COMMON STOCK | 16,703,049 | (4) | 16,667 (4) | I | BY SPOUSE |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MASTERS CHARLES G 3030 N. ROCKY POINT DR. SUITE 150 TAMPA, FL 33607 |
X | PRESIDENT & CEO |
/s/ CHARLES G. MASTERS | 06/11/2012 | |
**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) | An unexercised Series BD Common Stock Purchase Warrant held by the Reporting Person expired on August 11, 2011. The Series BD Common Stock Purchase Warrant was exercisable for 109,419 shares of the Company's common stock. |
(2) | An unexercised Series A Common Stock Purchase Warrant held by the Reporting Person's expired on August 11, 2011. The Series A Common Stock Purchase Warrant was exercisable for 33,334 shares of the Company's common stock. |
(3) | An unexercised Series A Common Stock Purchase Warrant held by the Reporting Person's spouse expired on December 4, 2011. The Series A Common Stock Purchase Warrant was exercisable for 2,024 shares of the Company's common stock. |
(4) | The Reporting Person's unexercised option expired on March 31, 2012. The expired option had provided the Reporting Person with the right to acquire an aggregate of 16,703,049 shares of common stock or preferred stock exercisable for common stock. |
(5) | Column 9 of Table II of the Reporting Person's Form 4 filed on Jan 7, 2011 incorrectly reported the number of derivative securities beneficially owned following the reported transaction as 16,977,827 shares. This Form 4 amends Column 9 of Table II of the Reporting Person's Form 4 filed on Jan 7, 2011 to report that correct number of derivative securities beneficially owned following the reported transaction was 16,864,493 shares. |
(6) | A portion of reported securities held directly by Reporting Person. A portion of reported securities held directly by Reporting Person's spouse. |