|
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 |
|
| |||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrant | $ 0.6 | 02/12/2018 | C | 123,530 | (1) | (1) | Common Stock | 123,530 | $ 0.6 | 123,530 | D | ||||
Warrant | $ 0.6 | 02/12/2018 | C | 411,765 | (2) | (2) | Common Stock | 411,765 | $ 0.6 | 535,295 | D | ||||
Warrant | $ 0.13 | 02/12/2018 | C | 764,706 | (3) | (3) | Common Stock | 764,706 | $ 0.13 | 1,300,001 | D | ||||
Warrant | $ 0.13 | 02/12/2018 | C | 1,882,362 | (4) | (4) | Common Stock | 1,882,362 | $ 0.13 | 3,182,353 | D | ||||
Warrant | $ 0.125 | 02/12/2018 | C | 1,411,765 | (5) | (5) | Common Stock | 1,411,765 | $ 0.125 | 4,594,117 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Brennan Peter F 1375 KINGS HIGHWAY EAST FAIRFIELD, CT 06824 |
X |
/s/ Peter Brennan | 03/06/2018 | |
**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) | The Reporting Person received a warrant to purchase 123,530 shares of Common Stock on 02/23/2017 inconnection with a Note Purchase Agreement executed on that date. The exercise price was $0.60 per share. The warrant was exercisable immediately and expired in one year-02/23/2018. |
(2) | The Reporting Person received a warrant to purchase 411,765 shares of Common Stock on 05/16/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.60 per share. The warrant was exercisable immediately and expired in one year-05/16/2018. |
(3) | The Reporting Person received a warrant to purchase 764,706 shares of Common Stock on 07/24/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.13 per share. The warrant was exercisable immediately and expired in one year - 07/24/2018. |
(4) | The Reporting Person received a warrant to purchase 1,882,352 shares of Common Stock on 12/29/2017 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.13 per share. The warrant was exercisable immediately and expired in one year-12/29/2018. |
(5) | The Reporting Person received a warrant to purchase 1,411,765 shares of Common Stock on 02/01/2018 in connection with a Note Purchase Agreement executed on that date. The exercise price was $0.125 per share. The warrant was exercisable immediately and expired in one year- 02/01/2019. |