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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
7% Convertible Senior Notes
|
03/05/2013 |
03/05/2018 |
Common Stock
|
34,434
|
$
8.05
|
D
(1)
|
Â
|
7% Convertible Senior Notes
|
03/05/2013 |
03/05/2018 |
Common Stock
|
125,214
|
$
8.05
|
I
|
Footnote 2
(2)
|
7% Convertible Senior Notes
|
03/05/2013 |
03/05/2018 |
Common Stock
|
28,173
|
$
8.05
|
I
|
Footnote 3
(3)
|
7% Convertible Senior Notes
|
03/05/2013 |
03/05/2018 |
Common Stock
|
31,303
|
$
8.05
|
I
|
Footnote 4
(4)
|
* |
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) |
Notes held jointly by Bryant and Carleen Riley JTWROS. The Notes reported are convertible at any time into the Company's common stock at a price of $8.05 per share. Interest accrues at 7%, with no principal or interest payments required before maturity on March 5, 2018. Accrued interest is convertible on the same terms as the principal and will total $116,002, or 14,410 shares, if not repaid or converted prior to the maturity date. 14,138 of these shares are not included in the reported total. |
(2) |
Notes held by B. Riley and Co., LLC. Mr. Riley is the sole indirect equity owner. The Notes reported are convertible at any time into the Company's common stock at a price of $8.05 per share. Interest accrues at 7%, with no principal or interest payments required before maturity on March 5, 2018. Accrued interest is convertible on the same terms as the principal and will total $421,824, or 52,400 shares, if not repaid or converted prior to the maturity date. 51,410 of these shares are not included in the reported total. |
(3) |
Notes held by B. Riley and Co. Retirement Trust. Mr. Riley is the trustee. The Notes reported are convertible at any time into the Company's common stock at a price of $8.05 per share. Interest accrues at 7%, with no principal or interest payments required before maturity on March 5, 2018. Accrued interest is convertible on the same terms as the principal and will total $94,910, or 11,790 shares, if not repaid or converted prior to the maturity date. 11,567 of these shares are not included in the reported total. |
(4) |
Notes held by an Irrevocable Trust that Mr. Riley is the trustee of. Mr. Riley does have sole dispositive power over these shares but disclaims beneficial ownership of them. The Notes reported are convertible at any time into the Company's common stock at a price of $8.05 per share. Interest accrues at 7%, with no principal or interest payments required before maturity on March 5, 2018. Accrued interest is convertible on the same terms as the principal and will total $105,456 or 13,100 shares, if not repaid or converted prior to the maturity date. 12,853 of these shares are not included in the reported total. |