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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 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 | $ 12.5 | (3) | 10/31/2020(4) | Common Stock | 3,251 | 3,251 | I | By Bruce M. Rodgers IRA | |||||||
Warrants | $ 12.5 | (3) | 10/31/2020(4) | Common Stock | 13,240 | 13,240 | I | By CGR63, LLC (1) | |||||||
Warrants | $ 12.5 | (3) | 10/31/2020(4) | Common Stock | 1,500 | 1,500 | I | By BRR Holding, LLC (2) | |||||||
Warrants | $ 12.5 | 08/29/2016 | P | 649 | (3) | 10/31/2020 | Common Stock | 649 | $ 0.55 | 3,900 | I | By Bruce M. Rodgers IRA |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rodgers Bruce M. 302 KNIGHTS RUN AVE., SUITE #1000 TAMPA, FL 33602 |
X | X | Chief Executive Officer |
s/ Aaron Gordon, Attorney-in-Fact for Bruce M. Rodgers | 08/30/2016 | |
**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) | Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of CGR63, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares. |
(2) | Bruce M. Rogers and Carollinn Gould, husband and wife, and their family, including trusts or custodial accounts of minor children of each of Mr. Rodgers and Ms. Gould, own 100% of the outstanding membership interests of BRR Holding, LLC. The reporting person disclaims beneficial ownership of these shares except to the extent of the reporting person's pecuniary interest in the shares. |
(3) | Immediately Exercisable |
(4) | On prior beneficial ownership filings the expiration date has been reported as 10/22/2020. The correct expiration date is 10/31/2020 |