UNITED STATES |
OMB APPROVAL |
SECURITIES AND EXCHANGE COMMISSION |
OMB Number: 3235-0101 Estimated average burden |
FORM 144 |
SEC USE ONLY |
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NOTICE OF PROPOSED SALE OF SECURITIES |
DOCUMENT SEQUENCE NO. |
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PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 |
CUSIP NUMBER |
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ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker. |
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1 (a) NAME OF ISSUER (Please type or print) |
(b) IRS IDENT. NO. 22- 4075963 |
(c) SEC FILE NO. 001-33304 |
WORK LOCATION |
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1 (d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE |
(e) TELEPHONE NO. |
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137A LEWIS WHARF BOSTON MA 02110 |
AREA CODE 617 |
NUMBER 624-0111 |
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2 (a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES ARE TO BE SOLD OPPENHEIMER ROCHESTER NATIONAL MUNICIPALS |
(b) IRS IDENT. NO. 13- 3725974 |
(c) RELATIONSHIP TO ISSUER NONE |
(d) ADDRESS STREET CITY STATE ZIP CODE 6803 SOUTH TUCSON WAY CENTENNIAL CO 80112-3924 |
INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.
3 (a) |
(b) |
SEC USE ONLY |
(c) |
(d) |
(e) |
(f) |
(g) |
Title of the |
Name and Address of Each Broker Through Whom the |
Broker-Dealer |
Number of Shares |
Aggregate |
Number of Shares |
Approximate |
Name of Each |
Common Stock |
Chardan Capital Markets, LLC 17 State St., Suite 1600 |
5,550,645 |
394,095.80 |
110,323,723 |
07 -25 – 2011 |
NASDAQ CM |
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INSTRUCTIONS:
1 (a) Name of issuer 2 (a) Name of person for whose account the securities are to be sold |
3 (a) Title of the class of securities to be sold |
Potential persons who are to 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 1147 (01-04)
TABLE I — SECURITIES TO BE SOLD
Furnish the following information with respect to the acquisition of the securities to be sold
and with respect to the payment of all or any part of the purchase price or other consideration therefore:
Title of |
Date you Acquired |
Nature of Acquisition Transaction |
Name of Person from Whom Acquired |
Amount of |
Date of Payment |
Nature of Payment |
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COMMON |
06 - 09 - 2011 |
EXCHANGED BONDS AND WARRANTS FOR CONVERTIBLE PREFERRED STOCK . CONVERTED PREFERRED STOCK TO COMMON STOCK. |
ISSUER |
5,550,645 SHARES |
N/A |
N/A |
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INSTRUCTIONS: |
If the securities were purchased and full payment therefore was not made in cash at |
TABLE II — SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.
Name and Address of Seller |
Title of Securities Sold |
Date of Sale |
Amount of |
Gross Proceeds |
N / A |
REMARKS:
INSTRUCTIONS: |
ATTENTION: |
See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. |
The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. |
DATE OF NOTICE 07 – 25 - 2011 |
(SIGNATURE) |
The notice shall be signed by the person for whose account the securities are to be sold. At least on copy of the notice shall be manually signed.
Any copies not manually signed shall bear typed or printed signatures.
ATTENTION: Intentional misstatements or omission of facts constitute Federal Criminal Violations (See 18 U.S.C. 1001) |
SEC 1147 (01-04)