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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 | ||||||||
Bridge Warrants | $ 1 | 12/20/2007 | 12/20/2012 | Common stock, par value $0.001 per share | 125,000 | 125,000 | D | ||||||||
Convertible Note | $ 0.6 | 12/20/2007 | 06/30/2010 | Common stock, par value $0.001 per share | 166,667 | 166,667 | D | ||||||||
Bridge Warrants | $ 1 | 02/15/2008 | 02/15/2008 | A | 2,000 | 02/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 127,000 | D (1) | |||
Bridge Warrants | $ 1 | 03/15/2008 | 03/15/2008 | A | 2,000 | 03/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 129,000 | D (1) | |||
Bridge Warrants | $ 1 | 04/15/2008 | 04/15/2008 | A | 2,000 | 04/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 131,000 | D (1) | |||
Bridge Warrants | $ 1 | 05/15/2008 | 05/15/2008 | A | 2,000 | 05/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 133,000 | D (1) | |||
Bridge Warrants | $ 1 | 06/15/2008 | 06/15/2008 | A | 2,000 | 06/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 135,000 | D (1) | |||
Bridge Warrants | $ 1 | 07/15/2008 | 07/15/2008 | A | 2,000 | 07/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 137,000 | D (1) | |||
Bridge Warrants | $ 1 | 08/15/2008 | 08/15/2008 | A | 2,000 | 08/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 139,000 | D (1) | |||
Bridge Warrants | $ 1 | 09/15/2008 | 09/15/2008 | A | 2,000 | 09/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 141,000 | D (1) | |||
Bridge Warrants | $ 1 | 10/15/2008 | 10/15/2008 | A | 2,000 | 10/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 143,000 | D (1) | |||
Bridge Warrants | $ 1 | 11/15/2008 | 11/15/2008 | A | 2,000 | 11/15/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 2,000 | $ 1 | 145,000 | D (1) | |||
Bridge Warrants | $ 1 | 11/20/2008 | 11/20/2008 | A | 28,000 | 11/20/2008 | 06/30/2012 | Common stock, par value $0.001 per share | 28,000 | $ 1 | 173,000 | D (1) (2) | |||
Equity financing arrangment warrants | $ 1 | 06/15/2008 | 06/15/2008 | A | 33,333 | 06/15/2008 | 06/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 33,333 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 07/15/2008 | 07/15/2008 | A | 33,333 | 07/15/2008 | 07/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 66,666 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 08/15/2008 | 08/15/2008 | A | 33,333 | 08/15/2008 | 08/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 99,999 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 08/19/2008 | 08/19/2008 | A | 100,000 | 08/19/2008 | 08/19/2013 | Common stock, par value $0.001 per share | 100,000 | $ 1 | 199,999 | D (4) | |||
Equity financing arrangment warrants | $ 1 | 09/15/2008 | 09/15/2008 | A | 33,333 | 09/15/2008 | 09/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 233,332 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 10/15/2008 | 10/15/2008 | A | 33,333 | 10/15/2008 | 10/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 266,665 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 11/15/2008 | 11/15/2008 | A | 33,333 | 11/15/2008 | 11/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 299,998 | D (3) | |||
Equity financing arrangment warrants | $ 1 | 12/15/2008 | 12/15/2008 | A | 33,333 | 12/15/2008 | 12/15/2013 | Common stock, par value $0.001 per share | 33,333 | $ 1 | 333,331 | D (3) | |||
Investor Warrants | $ 1.2 | 07/14/2008 | 07/14/2008 | A | 200,000 | 07/14/2008 | 07/14/2013 | Common stock, par value $0.001 per share | 200,000 | $ 1.2 | 200,000 | D | |||
Series B Convertible Preferred Stock | $ 0.9 | 07/14/2008 | 07/14/2008 | A/K | 444,444 | 07/14/2008 | 07/14/2013 | Common stock, par value $0.001 per share | 444,444 | $ 0.9 | 444,444 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Rhodes John D 124 NORTH FIRST STREET LOUISVILLE, KY 40202 |
X |
Robert Mohr as attorney-in-fact for John D. Rhodes III | 12/30/2008 | |
**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 contingent bridge warrants are earned in conjunction with the callable convertible bridge notes as long as the holder does no call the note or upon conversion to common stock. |
(2) | Contingent bridge warrants were earned in their entirety when the bridge not holder agreed to forebear calling the note until on or after June 30, 2010. |
(3) | Equity financing arrangement warrants were earned in connection with an agreement to provide up to $500,000 of equity financing on a monthly basis as of the anniversary date of the commitment. |
(4) | Equity financing arrangement warrants were earned in connection with an arrangement to provide an additional $2,500,000 of equity financing. |