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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 | ||||||||
Series Q Warrants | $ 5.5 | 03/31/2010 | S | 133,333 | 02/23/2010 | 02/23/2015 | Common Stock | 133,333 | (1) | 0 | I | By Comvita New Zealand Limited (2) | |||
Series N Warrants | $ 6.25 | 03/31/2010 | S | 100,000 | 02/23/2010 | 02/23/2015 | Common Stock | 100,000 | (1) | 0 | I | By Comvita New Zealand Limited (2) | |||
Series H Warrants | $ 8 | 03/31/2010 | S | 52,084 | 04/18/2006 | 04/30/2011 | Common Stock | 52,084 | (1) | 0 | I | By Comvita New Zealand Limited (2) | |||
Series Q Warrants | $ 5.5 | 03/31/2010 | P | 133,333 | 02/23/2010 | 02/23/2015 | Common Stock | 133,333 | (1) | 133,333 | I | By Comvita Limited (3) | |||
Series N Warrants | $ 6.25 | 03/31/2010 | P | 100,000 | 02/23/2010 | 02/23/2015 | Common Stock | 100,000 | (1) | 100,000 | I | By Comvita Limited (3) | |||
Series H Warrants | $ 8 | 03/31/2010 | P | 52,084 | 04/18/2006 | 04/30/2011 | Common Stock | 52,084 | (1) | 52,084 | I | By Comvita Limited (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Hewlett Brett WILSON ROAD SOUTH PRIVATE BAG 1 TE PUKE, Q2 3189 |
X | X |
/s/ Brett Hewlett | 04/05/2010 | |
**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 securities reported herein were originally issued to Comvita New Zealand Limited. Comvita New Zealand Limited is a wholly-owned subsidiary of Comvita Limited, the parent corporation. The securities reported herein were subsequently distributed by Comvita New Zealand Limited to Comvita Limited without payment of cash consideration. The distribution from Comvita New Zealand Limited to Comvita Limited effected a change in the form of beneficial ownership exempt under Rule 16a-13. |
(2) | The securities reported herein were previously held by Comvita New Zealand Limited. Brett Hewlett is the Chief Executive Officer of Comvita New Zealand Limited and therefore may be deemed to have shared voting and investment power with respect to these securities previously held by Comvita New Zealand Limited. Mr. Hewlett disclaimed beneficial ownership of these securities previously held by Comvita New Zealand Limited. |
(3) | The securities reported herein are held by Comvita Limited. Brett Hewlett is the Chief Executive Officer of Comvita Limited and therefore may be deemed to share voting and investment power with respect to these securities held by Comvita Limited. Mr. Hewlett disclaims beneficial ownership of these securities held by Comvita Limited. |