|
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 |
|
| |||||||||||||||||||||||||||||||||||||||||||||||||
|
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
CHRISTIANSON TONY C/O 222 SOUTH NINTH STREET SUITE 2300 MINNEAPOLIS, MN 55402 |
X |
Kelly Jacobus, as Attorney-in-Fact for Tony Christianson | 04/02/2014 | |
**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) | The price reported is the weighted average sale price for the transactions reported. The prices sold ranged from $.011 to $.015. The reporting person will provide to the issuer, a security holder of the issuer, or the SEC staff, upon request, full information regarding the number of shares sold at each price within the range. |
(2) | Mr. Christianson is the Chairman of Adam Smith Advisors, LLC, the managing member of Adam Smith Fund, LLC. Mr. Christianson disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. The filing of this report is not an admission that Mr. Christianson is the beneficial owner of the reported securities for purposes of Section 16 or for any other purpose. |
(3) | Mr. Christianson is the Chairman of Adam Smith Companies, LLC and disclaims beneficial ownership of the reported securities, except to the extent of his pecuniary interest therein. The filing of this report is not an admission that Mr. Christianson is the beneficial owner of the reported securities for purposes of Section 16 or for any other purpose. Adam Smith Growth Partners, LP, merged with Adam Smith Companies, LLC, and 12,880 shares previously reported being held by Adam Smith Growth Partners, LP are now held by Adam Smith Companies, LLC. |