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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||||||
Warrant to purchase common stock | $ 0.3 | 08/21/2014 | 08/21/2019 | Common Stock | 1,333,334 | 1,333,334 | I | By Cormag Holdings, Ltd. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SCOTT MARK DOUGLAS 104 FALCON RIDGE DRIVE WINNIPEG MB, A2 R3Y1X6 |
X | |||
CORMAG HOLDINGS, LTD. 104 FALCON RIDGE DRIVE WINNIPEG MB, A2 R3Y1X6 |
X |
/s/Mark Douglas Scott, Mark Douglas Scott, individually and as president of Cormag Holdings, Ltd. | 09/26/2014 | |
**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) | Mark Douglas Scott is the president, sole stockholder and a director of Cormag Holdings, Ltd. and the president, 50% stockholder and a director of M&K Scott Holdings, Ltd. Mark Scott's spouse is the president, sole shareholder and a director of Conchar Holdings, Ltd. Accordingly, the shares of common stock owned by Cormag Holdings, Ltd., M&K Scott Holdings, Ltd. and Conchar Holdings, Ltd. may be deemed to be beneficially owned by Mark Scott. Both Mark Scott and Cormag Holdings, Ltd. are deemed to be beneficial owners of more than 10% of the Issuer's common stock. The address of Cormag Holdings, Ltd., is the same as Mark Scott. |