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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 | ||||||||
Stock Options (right to purchase) | $ 6 | 09/10/2012 | A | 3,000 | 09/10/2012 | 09/10/2017 | Common Stock | 3,000 | $ 0 | 3,000 | D | ||||
Stock Options (right to purchase) | $ 6 | 04/23/2013 | A | 750 | 04/23/2013 | 04/23/2018 | Common Stock | 750 | $ 0 | 3,750 | D | ||||
Stock Options (right to purchase) | $ 7.86 | 09/30/2013 | A | 750 | 09/30/2013 | 09/30/2018 | Common Stock | 750 | $ 0 | 4,500 | D | ||||
Stock Options (right to purchase) | $ 8.98 | 12/31/2013 | A | 750 | 12/31/2013 | 12/31/2018 | Common Stock | 750 | $ 0 | 5,250 | D | ||||
Stock Options (right to purchase) | $ 9.38 | 03/31/2014 | A | 750 | 03/31/2014 | 03/31/2019 | Common Stock | 750 | $ 0 | 6,000 | D | ||||
Warrants (1) (right to purchase) | $ 6.3 | 06/22/2012 | A | 31,190 | 06/22/2012 | 06/22/2017 | Common Stock | 31,190 | $ 0 | 37,190 | I | See Note (3) | |||
Warrants (1) (right to purchase) | $ 8.72 | 01/01/2014 | A | 10,000 | 04/01/2014 | 12/31/2019 | Common Stock | 10,000 | $ 0 | 47,190 | I | See Note (4) | |||
Stock Options (right to purchase) | $ 11.73 | 05/16/2014 | A | 750 | 05/16/2014 | 05/15/2019 | Common Stock | 750 | $ 0 | 47,940 | D | ||||
Stock Options (right to purchase) | $ 9.24 | 08/21/2014 | A | 750 | 08/21/2014 | 08/22/2019 | Common Stock | 750 | $ 0 | 48,690 | D | ||||
Stock Options (right to purchase) | $ 10.26 | 11/24/2014 | A | 1,750 | 11/24/2014 | 11/23/2019 | Common Stock | 1,750 | $ 0 | 50,440 | D | ||||
Stock Options (right to purchase) | $ 10.05 | 04/06/2015 | A | 750 | 04/06/2015 | 04/05/2020 | Common Stock | 750 | $ 0 | 51,190 | D | ||||
Stock Options (right to purchase) | $ 10.05 | 04/06/2015 | A | 750 | 07/01/2015 | 04/05/2020 | Common Stock | 750 | $ 0 | 51,940 | D | ||||
Stock Options (right to purchase) | $ 10.05 | 04/06/2015 | A | 750 | 10/01/2015 | 04/05/2020 | Common Stock | 750 | $ 0 | 52,690 | D | ||||
Stock Options (right to purchase) | $ 10.05 | 04/06/2015 | A | 750 | 01/01/2016 | 04/05/2020 | Common Stock | 750 | $ 0 | 53,440 | D | ||||
Series A Convertible Preferred Stock | $ 4.92 | 05/26/2016 | P | 65,000 | 05/26/2016 | (6) | Common Stock | 132,113 | $ 10 | 185,553 | D | ||||
Warrants (5) (right to purchase) | $ 6.15 | 05/26/2016 | P | 50,996 | 11/27/2016 | 05/26/2021 | Common Stock | 50,996 | $ 0 | 236,549 | I | See Note (5) | |||
Stock Options (right to purchase) | $ 4.64 | 06/02/2016 | A | 750 | 06/02/2016 | 06/01/2021 | Common Stock | 750 | $ 0 | 237,299 | D | ||||
Stock Options (right to purchase) | $ 4.64 | 06/02/2016 | A | 750 | 08/01/2016 | 06/01/2021 | Common Stock | 750 | $ 0 | 238,049 | D | ||||
Stock Options (right to purchase) | $ 4.64 | 06/02/2016 | A | 750 | 11/01/2016 | 06/01/2021 | Common Stock | 750 | $ 0 | 238,799 | D | ||||
Stock Options (right to purchase) | $ 4.64 | 06/02/2016 | A | 750 | 02/01/2017 | 06/01/2021 | Common Stock | 750 | $ 0 | 239,549 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
TAGLICH ROBERT 700 NEW YORK AVENUE, SUITE B HUNTINGTON, NY 11743 |
X |
/s/ Robert F. Taglich | 06/30/2016 | |
**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) | Represents shares owned by Taglich Brothers, Inc., of which the Reporting Person is Managing Director |
(2) | Owned by Tag/Kent Partners, of which Reporting Person is a General Partner. |
(3) | Reporting Person's portion of a total 118,585 Placement Agent Warrants received by Taglich Brothers, Inc., which acted as placement agent for the sale of Issuer's common stock in June and July of 2012. |
(4) | Represents warrants issued to Taglich Brothers, Inc., of which the Reporting Person is Managing Director, pursuant to Capital Markets Advisory Agreement. |
(5) | Placement Agent Warrants received by Taglich Brothers, Inc., of which the Reporting Person is Managing Director, which acted as placement agent for the sale of Issuer's Series A Convertible Preferred Stock in May 2016. |
(6) | No expiration date. |