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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Options | $ 1.19 | 05/08/2009 | 05/08/2009 | A | 1,000,000 (1) | (1) | 05/08/2019 | Common stock, par value $0.001 per share | $ 0 | 1,000,000 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Widener Bruce 9300 SHELBYVILLE ROAD SUITE 1020 LOUISVILLE, KY US 40222 |
X | Chief Executive Officer | ||
Grendi Michael 9300 SHELBYVILLE ROAD SUITE 1000 LOUISVILLE, KY US 40222 |
X | Chief Executive Officer |
Greg Guilford as attorney-in-facot for Bruce Widener | 11/14/2011 | |
**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 options are exercisable in increments of 333,333 on May 8 2010, 2011 and 2012, respectively. |
(2) | Shares gifted to family members. |