Delaware
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88-0378336
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(State or Other Jurisdiction of
Incorporation or Organization)
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(I.R.S. Employer
Identification No.)
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501 Fifth Avenue, 3rd Floor
New York, NY
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10017
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(Address of Principal Executive Offices)
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(Zip Code)
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Large accelerated filer o
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Accelerated filer o
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Non-accelerated filer o (Do not check if a smaller reporting company)
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Smaller reporting company x
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PART I-- FINANCIAL INFORMATION
|
||
Item 1.
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Financial Statements (Unaudited)
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3
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Item 2.
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Management’s Discussion and Analysis of Financial Condition and Results of Operations
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16
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Item 3.
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Quantitative and Qualitative Disclosures About Market Risk
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25
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Item 4.
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Controls and Procedures
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25
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PART II-- OTHER INFORMATION
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||
Item 1.
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Legal Proceedings
|
|
Item 1A.
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Risk Factors
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26
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Item 2.
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Unregistered Sales of Equity Securities and Use of Proceeds
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26
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Item 3.
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Defaults Upon Senior Securities
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26
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Item 4.
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Mine Safety Disclosures
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26
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Item 5.
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Other Information
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26
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Item 6.
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Exhibits
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26
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SIGNATURES
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27
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September 30, 2013
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December 31, 2012
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|||||||
|
||||||||
Assets
|
||||||||
Current Assets:
|
||||||||
Cash and cash equivalents
|
$ | 3,990,063 | $ | 5,618,669 | ||||
Prepaid expenses and other current assets
|
53,000 | 167,143 | ||||||
Total Current Assets
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4,043,063 | 5,785,812 | ||||||
Property and equipment, net of accumulated depreciation
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6,918 | 3,010 | ||||||
Total Assets
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$ | 4,049,981 | $ | 5,788,822 | ||||
Liabilities and Stockholders' Equity
|
||||||||
Current Liabilities:
|
||||||||
Accounts payable and accrued expenses
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$ | 312,001 | $ | 897,044 | ||||
Accounts payable and accrued expenses - related party
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375,686 | 31,185 | ||||||
Note payable
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- | 140,000 | ||||||
Derivative liabilities
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2,757,966 | 3,574,958 | ||||||
Total Current Liabilities
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3,445,653 | 4,643,187 | ||||||
Total Liabilities
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3,445,653 | 4,643,187 | ||||||
Commitments and contingencies
|
||||||||
Stockholders' Equity:
|
||||||||
Preferred stock, $0.001 par value; 10,000,000 authorized
|
||||||||
0 shares issued and outstanding
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- | - | ||||||
Common stock, $0.001 par value; 100,000,000 shares authorized;
|
||||||||
23,656,582 and 21,391,665 shares issued and outstanding, respectively
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236,565 | 213,916 | ||||||
Additional paid in capital
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61,005,177 | 56,675,182 | ||||||
Deficit accumulated during the development stage
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(60,637,414 | ) | (55,743,463 | ) | ||||
Total Stockholders' Equity
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604,328 | 1,145,635 | ||||||
Total Liabilities and Stockholders' Equity
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$ | 4,049,981 | $ | 5,788,822 |
For the Period
|
||||||||||||||||||||
from June 13, 2000
|
||||||||||||||||||||
For the three months ended
|
For the nine months ended
|
(Inception) to
|
||||||||||||||||||
September 30, |
September 30,
|
September 30,
|
||||||||||||||||||
2013
|
2012
|
2013
|
2012
|
2013
|
||||||||||||||||
Revenue
|
$ | - | $ | - | $ | - | $ | - | $ | - | ||||||||||
Operating expenses:
|
||||||||||||||||||||
Research and development, net of reimbursements
|
778,232 | 1,677,301 | 2,373,200 | 2,723,459 | 28,793,719 | |||||||||||||||
General and administrative
|
830,730 | 722,037 | 2,730,233 | 1,520,221 | 27,235,208 | |||||||||||||||
Depreciation and amortization expense
|
- | 112 | - | 429 | 3,262,462 | |||||||||||||||
Loss on disposition of equipment
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- | - | 4,122 | - | 554,308 | |||||||||||||||
Total operating expenses
|
1,608,962 | 2,399,450 | 5,107,555 | 4,244,109 | 59,845,697 | |||||||||||||||
Loss from operations
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(1,608,962 | ) | (2,399,450 | ) | (5,107,555 | ) | (4,244,109 | ) | (59,845,697 | ) | ||||||||||
Other income (expense):
|
||||||||||||||||||||
Interest expense
|
(1,299 | ) | (318,623 | ) | (2,508 | ) | (952,241 | ) | (1,967,215 | ) | ||||||||||
Gain on extinguishment of liability
|
- | - | - | - | 260,000 | |||||||||||||||
Change in fair value - derivative liabilities
|
189,348 | (294,381 | ) | 216,112 | (287,604 | ) | 915,498 | |||||||||||||
Total other income (expense)
|
188,049 | (613,004 | ) | 213,604 | (1,239,845 | ) | (791,717 | ) | ||||||||||||
Net loss
|
$ | (1,420,913 | ) | $ | (3,012,454 | ) | $ | (4,893,951 | ) | $ | (5,483,954 | ) | $ | (60,637,414 | ) | |||||
Net loss per common share - basic and diluted
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$ | (0.06 | ) | $ | (3.76 | ) | $ | (0.22 | ) | $ | (6.84 | ) | ||||||||
Weighted average number of common shares outstanding - basic and diluted
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23,601,895 | 801,799 | 22,401,711 | 801,799 |
For the Period
|
||||||||||||
For the Nine
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For the Nine
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from June 13, 2000
|
||||||||||
Months Ended
|
Months Ended
|
(Inception) to
|
||||||||||
September 30,
|
September 30,
|
September 30,
|
||||||||||
2013
|
2012
|
2013
|
||||||||||
Cash Flows From Operating Activities:
|
||||||||||||
Net loss
|
$ | (4,893,951 | ) | $ | (5,483,954 | ) | $ | (60,637,414 | ) | |||
Adjustments to reconcile net loss to net cash provided by (used in) operating activities:
|
||||||||||||
Stock-based compensation expense
|
284,371 | 312,500 | 6,336,407 | |||||||||
Depreciation expense
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- | 429 | 3,262,462 | |||||||||
Loss on disposition of equipment
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4,122 | - | 554,308 | |||||||||
Amortization of debt discount
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- | 678,116 | 900,000 | |||||||||
Amortization of deferred financing costs
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- | 219,725 | 292,692 | |||||||||
Gain on extinguishment of liability
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- | - | (260,000 | ) | ||||||||
Change in fair value derivative liabilities
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(216,112 | ) | 287,604 | (915,498 | ) | |||||||
Changes in operating assets and liabilities:
|
||||||||||||
(Increase) decrease in:
|
||||||||||||
Prepaid expenses and other current assets
|
114,143 | 14,386 | 87,000 | |||||||||
Increase (decrease) in:
|
||||||||||||
Accounts payable and accrued liabilities
|
(585,043 | ) | 173,614 | 653,730 | ||||||||
Accounts payable and accrued liabilities - related party
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344,501 | 2,100 | 375,686 | |||||||||
Net Cash Used In Operating Activities
|
(4,947,969 | ) | (3,795,480 | ) | (49,350,627 | ) | ||||||
Cash Flows From Investing Activities:
|
||||||||||||
Payment made for patent rights
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- | - | (3,000,000 | ) | ||||||||
Purchase of property and equipment
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(8,030 | ) | (1,812 | ) | (823,689 | ) | ||||||
Net Cash Used In Investing Activities
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(8,030 | ) | (1,812 | ) | (3,823,689 | ) | ||||||
Cash Flows From Financing Activities:
|
||||||||||||
Borrowings on convertible debt, net of offering costs
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- | - | 645,888 | |||||||||
Payments on note payable | (140,000 | ) | - | (140,000 | ) | |||||||
Sales of common stock, net of offering costs
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- | 660,163 | 53,191,098 | |||||||||
Proceeds from the exercise of warrants for cash
|
3,467,393 | - | 3,467,393 | |||||||||
Net Cash Provided By Financing Activities
|
3,327,393 | 660,163 | 57,164,379 | |||||||||
Net change in cash
|
(1,628,606 | ) | (3,137,129 | ) | 3,990,063 | |||||||
Cash at beginning of period
|
5,618,669 | 5,703,798 | - | |||||||||
Cash at end of period
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$ | 3,990,063 | $ | 2,566,669 | $ | 3,990,063 | ||||||
Supplemental disclosures of cash flow information:
|
||||||||||||
Cash paid for interest
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$ | 561 | $ | - | $ | 1,243 | ||||||
Cash paid for taxes
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$ | - | $ | - | $ | - | ||||||
Supplemental disclosure of non-cash investing and financing activities:
|
||||||||||||
Beneficial conversion feature discount
|
$ | - | $ | - | $ | 372,850 | ||||||
Fair value of warrants issued with debt
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$ | - | $ | - | $ | 377,150 | ||||||
Fair value of warrants issued with stock
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$ | - | $ | 318,087 | $ | 5,985,238 | ||||||
Fair value of warrants issued to the placement agent
|
$ | - | $ | 159,044 | $ | 2,170,282 | ||||||
Conversion of notes payable and accrued interest to stock
|
$ | - | $ | - | $ | 981,729 | ||||||
Transfer from derivative liability classification to equity classification
|
$ | 600,880 | $ | - | $ | 4,832,204 |
|
Level 1
|
Level 2
|
Level 3
|
Total
|
||||||||
|
|
|
|
|
||||||||
Derivative liabilities:
|
|
|
|
|
||||||||
At September 30, 2013
|
- | - | $ | 2,757,966 | $ | 2,757,966 | ||||||
At December 31, 2012
|
- | - | 3,574,958 | 3,574,958 |
|
Lives
|
2013
|
2012
|
||||||
|
|
|
|
||||||
Office equipment
|
5 years
|
$ | 162,384 | $ | 156,162 | ||||
Furniture and fixture
|
7 years
|
3,100 | 1,292 | ||||||
|
|
||||||||
Total property and equipment
|
|
165,484 | 157,454 | ||||||
Less: accumulated depreciation
|
|
(154,444 | ) | (154,444 | ) | ||||
Loss on disposition of equipment
|
|
(4,122 | ) | - | |||||
|
|
||||||||
Property and equipment, net
|
|
$ | 6,918 | $ | 3,010 |
|
Units
|
Fair Value
|
||||||
|
|
|
||||||
Balance, December 31, 2012
|
5,146,338 | $ | 3,574,958 | |||||
|
||||||||
Reclassification to paid-in capital
|
(3,130,536 | ) | (600,880 | ) | ||||
Change in fair value
|
- | (216,112 | ) | |||||
|
||||||||
Balance, September 30, 2013
|
2,015,802 | $ | 2,757,966 |
|
December 31,
|
September 30,
|
||||||
|
2012
|
2013
|
||||||
|
|
|
||||||
Market value of common stock on measurement date (1)
|
$ | 1.17 | $ | 1.65 | ||||
Adjusted exercise price
|
$ | 0.48 - $0.81 | $ | 1.50 - $2.475 | ||||
Risk free interest rate (2)
|
0.10% - 0.77 | % | 0.33 | % | ||||
Warrant lives in years
|
4 months/5 years
|
0 days/4.22 years
|
||||||
Expected volatility (3)
|
125% - 161 | % | 139 | % | ||||
Expected dividend yield (4)
|
- | - | ||||||
Probability of stock offering in any period over 5 years (5)
|
25 | % | 25% - 40 | % |
(1)
|
The market value of common stock is based on an enterprise valuation.
|
(2)
|
The risk-free interest rate was determined by management using the Treasury Bill as of the respective measurement date.
|
(3)
|
Because the Company does not have adequate trading history to determine its historical trading volatility, the volatility factor was estimated by management using the historical volatilities of comparable companies in the same industry and region.
|
(4)
|
Management determined the dividend yield to be 0% based upon its expectation that it will not pay dividends for the foreseeable future.
|
(5)
|
Management has determined that the probability of a stock offering is 25% - 40% for each quarter of the next five years.
|
a
|
A base salary at an annual rate of $350,000, which will be re-evaluated upon the six month anniversary of the start date and reimbursement of certain expenses.
|
||
b
|
The CEO shall be entitled to participate in an executive bonus program, which shall be established by the Board pursuant to which the Board shall award bonuses to the CEO, based upon the achievement of written individual and corporate objectives such as the Board shall determine. Upon the attainment of such performance objectives, the CEO shall be entitled to a cash bonus in an amount to be determined by the Board with a target of forty percent (40%) of the base salary.
|
||
c
|
An option to purchase common shares of the Company and restricted stock (the “Grant”). The Grant will consist of (i) an option grant to purchase 675,000 common shares of the Company; (ii) 125,000 shares of restricted and (iii) 100,000 shares of restricted stock a sign-on bonus of which fifty percent will vest at the one year anniversary of the start date upon starting work. An additional twenty-five percent each will vest at eighteen months and twenty-four months after the start date. As of October 25, 2013, the option has not been granted by the Board.
|
a.
|
Abbott Biotherapeutics Corp – The Company entered into a Product Development and Patent License Agreement with Abbott Biotherapeutics Corp. (formerly Facet Biotech formerly known as Protein Design Labs) in 2003 to secure exclusive rights to a specific antibody when conjugated with alpha emitting radioisotopes. Upon execution of the agreement, the Company made a license fee payment of $3,000,000.
|
Milestones
|
|
Payments
|
|
|
|
|
|
|
|
(1) when Company initiates a Phase I Clinical Trial of a licensed product
|
|
$
|
750,000
|
|
(2) when Company initiates a Phase II Clinical Trial of a licensed product
|
|
|
750,000
|
|
(3) when Company initiates a Phase III Clinical Trial of a licensed product
|
|
|
1,500,000
|
|
(4) Biological License Application filing with U.S. FDA
|
|
|
1,750,000
|
|
(5) First commercial sale
|
|
|
1,500,000
|
|
(6) after the first $10,000,000 in net sales
|
|
|
1,500,000
|
|
b.
|
Memorial Sloan Kettering Cancer Center (MSKCC) – In February 2002, the Company entered into a license agreement with MSKCC that requires a technology access fee of $50,000 upon execution, an annual maintenance fee of $50,000 and annual research funding of $50,000 for as long as the agreement is in force.
|
Milestones
|
|
Payments
|
|
|
|
|
|
|
|
|
|
|
|
|
1) filing of an New Drug Application (“NDA”) or regulatory approval for each licensed product
|
|
$
|
750,000
|
|
(2) upon the receipt of regulatory approval from the U.S. FDA for each licensed product
|
|
|
1,750,000
|
|
c.
|
Oak Ridge National Laboratory (ORNL) – API is contracted to purchase $233,100 of radioactive material to be used for research and development, with a renewal option at the contract end. The Company is currently negotiating the 2013 agreement.
|
d.
|
AptivSolutions provides project management services for the study of the drug Ac-225-HuM195 (Actimab-A) used in the Company clinical trials, Phase I and Phase II. The total project is estimated to cost approximately $1.9 million and requires a 12.5% down payment of the total estimated project cost. The down payment totaling $239,000 was paid in 2007 and 2012. On August 6, 2012, October 22, 2012 and May 16, 2013, the agreement was amended to provide for additional services. The total project is now estimated at approximately $2.2 million. AptivSolutions bills the Company when services are rendered and the Company records the related expense to research and development costs.
|
e.
|
On June 15, 2012, the Company entered into a license and sponsored research agreement with Fred Hutchinson Cancer Research Center (FHCRC). The Company will build upon previous and ongoing clinical trials, with BC8 (licensed antibody). FHCRC has currently completed Phase I and Phase II of the clinical trial and the Company intends to start preparation for a pivotal trial leading to an FDA approval. The Company has been granted exclusive rights to the BC8 antibody and related master cell bank developed by FHCRC. The cost to develop the trial will range from $13.2 million to $23.5 million, depending on the trial design as required by the FDA. Under the terms of the sponsored research agreement, the Company will fund the FHCRC lab with $150,000 per year for the first two years and $250,000 thereafter. Payments made toward funding the lab will be credited toward royalty payments owed to FHCRC in the given year. A milestone payment of $1 million will be due to FHCRC upon FDA approval of the first drug. Upon commercial sale of the drug, royalty payments of 2% of net sales will be due to FHCRC.
|
f.
|
On March 27, 2012, the Company entered into a clinical trial agreement with MSKCC. The Company will pay $31,185 for each patient that has completed the clinical trial. Upon execution of the agreement, the Company is required to pay a start-up fee of $79,623. The amount due of $79,623 was paid on July 10, 2012.
|
g.
|
On July 19, 2012, the Company entered into a clinical trial agreement with FHCRC. The Company will pay $31,366 for each patient that has completed the clinical trial. Upon execution of the agreement, the Company is required to pay a start-up fee of $19,749. During the clinical trial additional fees apply and will be invoiced when applicable. The amount due has not been invoiced but accrued by the Company as of September 30, 2013.
|
h.
|
On August 28, 2012, the Company entered into a clinical trial agreement with The University of Texas M.D. Anderson Cancer Center. The total estimated cost of conducting the clinical trial is approximately $500,000, which includes a non- refundable institutional fee of $14,500. The estimated cost is based on treating 24 patients through 2013. Upon execution of the agreement, the Company is required to make a payment of $33,946.
|
i.
|
On September 26, 2012, the Company entered into a clinical trial agreement with Johns Hopkins University. The Phase I/II clinical trial will be conducted with Actinium 225. The clinical trial will be conducted under the protocols established by the Company and pursuant to an Investigational New Drug Exemption (IND 10807) held by the Company. The Company will pay $38,501 per patient, who has completed the clinical trial. The Company is required to pay a start-up fee of $22,847, an annual pharmacy fee of $2,025 and an amendment processing fee of $500, when applicable.
|
j.
|
On November 21, 2012, the Company entered into a clinical trial agreement with the University of Pennsylvania. The Phase I/II clinical trial will be conducted with Actinium 225. The clinical trial will be conducted under the protocols established by the Company and pursuant to an Investigational New Drug Exemption (IND 10807) held by the Company. The Company will pay $31,771 per patient, who has completed the clinical trial. The Company will be required to pay a start-up fee of $16,000 and additional administrative fees, when applicable.
|
|
|
|
Weighted
|
|
||||||||||||
|
|
|
Average
|
|
||||||||||||
|
|
Weighted
|
Remaining
|
Aggregate
|
||||||||||||
|
Number of
|
Average
|
Contractual
|
Intrinsic
|
||||||||||||
|
Units
|
Exercise Price
|
Term (in years)
|
Value
|
||||||||||||
|
|
|
|
|
||||||||||||
Outstanding, December 31, 2012
|
2,330,134 | $ | 0.96 | 8.91 | $ | 685,800 | ||||||||||
Cancellation
|
(49,950 | ) | ||||||||||||||
|
||||||||||||||||
Outstanding, September 30, 2013
|
2,280,184 | $ | 0.95 | 8.17 | $ | 1,609,035 |
Weighted
|
||||||||||||||||
Average
|
||||||||||||||||
Weighted
|
Remaining
|
Aggregate
|
||||||||||||||
Number of
|
Average
|
Contractual
|
Intrinsic
|
|||||||||||||
Units
|
Exercise Price
|
Term (in years)
|
Value
|
|||||||||||||
|
|
|
||||||||||||||
Outstanding, December 31, 2012
|
12,770,636 | $ | 0.97 | 4.48 | $ | 6,114,768 | ||||||||||
Warrants exercised
|
(2,304,910 | ) | $ | 1.65 | ||||||||||||
Warrants expired
|
(1,023,784 | ) | $ | 1.65 | ||||||||||||
Outstanding, September 30, 2013
|
9,441,942 | $ | 0. 77 | 5.09 | $ | 9,611,403 |
For the three months ended
September 30,
|
||||||||
2013
|
2012
|
|||||||
Revenues
|
$
|
-
|
$
|
-
|
||||
Operating expenses:
|
||||||||
Research and development, net of reimbursements
|
778,232
|
1,677,301
|
||||||
General and administrative
|
830,730
|
722,037
|
||||||
Other expenses
|
-
|
112
|
||||||
Total operating expenses
|
1,608,962
|
2,399,450
|
||||||
Other (income) expense:
|
||||||||
Interest expense
|
1,299
|
318,623
|
||||||
(Gain) loss on change in fair value of derivative liabilities
|
(189,348)
|
294,381
|
||||||
Total other (income) expense
|
(188,049)
|
613,004
|
||||||
Net loss
|
$
|
(1,420,913
|
)
|
$
|
(3,012,454
|
)
|
For the nine months ended
September 30,
|
||||||||
2013
|
2012
|
|||||||
Revenues
|
$
|
-
|
$
|
-
|
||||
Operating expenses:
|
||||||||
Research and development, net of reimbursements
|
2,373,200
|
2,723,459
|
||||||
General and administrative
|
2,730,233
|
1,520,221
|
||||||
Other expenses
|
4,122
|
429
|
||||||
Total operating expenses
|
5,107,555
|
4,244,109
|
||||||
Other (income) expense:
|
||||||||
Interest expense
|
2,508
|
952,241
|
||||||
(Gain) loss on change in fair value of derivative liabilities
|
(216,112
|
)
|
287,604
|
|||||
Total other (income) expense
|
(213,604
|
)
|
1,239,845
|
|||||
Net loss
|
$
|
(4,893,951
|
)
|
$
|
(5,483,954
|
)
|
For the nine months ended
September 30,
|
||||||||
2013
|
2012
|
|||||||
Cash used in operating activities
|
$
|
(4,947,969
|
)
|
$
|
(3,795,480
|
)
|
||
Cash used in investing activities
|
(8,030
|
)
|
(1,812
|
)
|
||||
Cash provided by financing activities
|
3,327,393
|
660,163
|
||||||
Net change in cash
|
$
|
(1,628,606
|
)
|
$
|
(3,137,129)
|
Exhibit
No.
|
Title of Document
|
Location
|
||
31.1
|
Certification of the Principal Executive Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
Attached
|
||
31.2
|
Certification of the Principal Financial and Accounting Officer pursuant to Section 302 of the Sarbanes-Oxley Act of 2002
|
Attached
|
||
32.1
|
Certification of the Principal Executive Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
|
Attached
|
||
32.1
|
Certification of the Principal Financial and Accounting Officer pursuant to U.S.C. Section 1350 as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002*
|
Attached
|
||
101.INS
|
X XBRL Instance Document
|
Attached
|
||
101.SCH
|
X XBRL Taxonomy Extension Schema Document
|
Attached
|
||
101.CAL
|
X XBRL Taxonomy Calculation Linkbase Document
|
Attached
|
||
101.DEF
|
X XBRL Taxonomy Extension Definition Linkbase Document
|
Attached
|
||
101.LAB
|
X XBRL Taxonomy Label Linkbase Document
|
Attached
|
||
101.PRE
|
X XBRL Taxonomy Presentation Linkbase Document
|
Attached
|
ACTINIUM PHARMACEUTICALS, INC.
|
|||
Date: November 14, 2013
|
|||
By:
|
/s/ Kaushik J. Dave
|
||
Kaushik J. Dave
|
|||
President and Chief Executive
Officer (Duly Authorized Officer, and Principal Executive Officer)
|
By:
|
/s/ Sergio Traversa
|
||
Sergio Traversa
|
|||
Interim Chief Financial
Officer (Duly Authorized Officer, and Principal Financial and Accounting Officer)
|
1.
|
I have reviewed this Form 10-Q of Actinium Pharmaceuticals, Inc.;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods present in this report;
|
4.
|
I am responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13-a-15(f) and 15d-15(f)) for the registrant and have:
|
|
a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
|
b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principals;
|
|
c)
|
Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
|
|
d)
|
Disclosed in this report any change in the registrant’s internal control over financing reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
|
5.
|
I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
|
a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
|
|
b)
|
Any fraud, whether or not material, that involved management or other employees who have a significant role in the registrant’s internal control over financial reporting.
|
Actinium Pharmaceutical, Inc.
|
|
|
|
By:
|
/s/ Kaushik J. Dave
|
|
Kaushik J. Dave
|
President and Chief Executive Officer
(Principal Executive Officer)
|
|
1.
|
I have reviewed this Form 10-Q of Actinium Pharmaceuticals, Inc.;
|
2.
|
Based on my knowledge, this report does not contain any untrue statement of a material fact or omit to state a material fact necessary to make the statements made, in light of the circumstances under which such statements were made, not misleading with respect to the period covered by this report;
|
3.
|
Based on my knowledge, the financial statements, and other financial information included in this report, fairly present in all material respects the financial condition, results of operations and cash flows of the registrant as of, and for, the periods present in this report;
|
4.
|
I am responsible for establishing and maintaining disclosure controls and procedures (as defined in Exchange Act Rules 13a-15(e) and 15d-15(e)) and internal control over financial reporting (as defined in Exchange Act Rules 13-a-15(f) and 15d-15(f)) for the registrant and have:
|
|
a)
|
Designed such disclosure controls and procedures, or caused such disclosure controls and procedures to be designed under our supervision, to ensure that material information relating to the registrant, including its consolidated subsidiaries, is made known to us by others within those entities, particularly during the period in which this report is being prepared;
|
|
b)
|
Designed such internal control over financial reporting, or caused such internal control over financial reporting to be designed under our supervision, to provide reasonable assurance regarding the reliability of financial reporting and the preparation of financial statements for external purposes in accordance with generally accepted accounting principals;
|
|
c)
|
Evaluated the effectiveness of the registrant’s disclosure controls and procedures and presented in this report our conclusions about the effectiveness of the disclosure controls and procedures, as of the end of the period covered by this report based on such evaluation; and
|
|
d)
|
Disclosed in this report any change in the registrant’s internal control over financing reporting that occurred during the registrant’s most recent fiscal quarter (the registrant’s fourth fiscal quarter in the case of an annual report) that has materially affected, or is reasonably likely to materially affect, the registrant’s internal control over financial reporting; and
|
5.
|
I have disclosed, based on our most recent evaluation of internal control over financial reporting, to the registrant’s auditors and the audit committee of the registrant’s board of directors (or persons performing the equivalent functions):
|
a)
|
All significant deficiencies and material weaknesses in the design or operation of internal control over financial reporting which are reasonably likely to adversely affect the registrant’s ability to record, process, summarize and report financial information; and
|
|
b)
|
Any fraud, whether or not material, that involved management or other employees who have a significant role in the registrant’s internal control over financial reporting.
|
Actinium Pharmaceutical, Inc.
|
|
|
|
By:
|
/s/ Sergio Traversa
|
|
Sergio Traversa
|
Interim Chief Financial Officer
(Principal financial and Accounting Officer)
|
|
1.
|
The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and
|
2.
|
The information contained in the Quarterly Report fairly presents, in all material respects, the financial condition and result of operations of the Company.
|
Actinium Pharmaceuticals, Inc.
|
|
|
|
By:
|
/s/ Kaushik J. Dave
|
|
Kaushik J. Dave
|
President and Chief Executive Officer
|
|
(Principal Executive Officer)
|
1.
|
The Report fully complies with the requirements of Section 13(a) or 15(d) of the Securities Exchange Act of 1934, as amended; and
|
2.
|
The information contained in the Quarterly Report fairly presents, in all material respects, the financial condition and result of operations of the Company.
|
Actinium Pharmaceuticals, Inc.
|
|
|
|
By:
|
/s/ Sergio Traversa
|
|
Sergio Traversa
|
Interim Chief Financial Officer
|
|
(Principal Financial and Accounting Officer)
|
Percentage
|
||||||||||||||||||||||
Shares
|
Beneficially
|
|||||||||||||||||||||
Name of |
Beneficially
Owned prior to
Offering
Shares Beneficially
Owned
|
Owned
prior
to
Percentage (%) Beneficially
Owned
|
Shares
Beneficially |
Percentage
Beneficially |
||||||||||||||||||
Selling |
prior
|
prior
|
Shares to | after |
After
|
|||||||||||||||||
Stockholder
|
to Offering
|
to Offering
|
Offer (1)
|
Offering
|
Offering
|
|||||||||||||||||
Adam Baker
|
111,300 | * | 111,300 | (1 | ) | - | - | |||||||||||||||
Alan Aranha
|
-- | * | 22,533 | (2 | ) | |||||||||||||||||
Albert H. Konetzni, Jr. and Shirley A. Konetzni (JTTEN)
|
94,764 | * | 94,764 | (3 | ) | - | - | |||||||||||||||
Alexander Sepulveda IRA (Sterne Agee & Leach Inc. C/F Alexander Sepulveda IRA)
|
90,817 | * | 90,817 | (4 | ) | - | - | |||||||||||||||
Amrosan LLC
|
99,617 | * | 475,173 | (5 | ) | - | - | |||||||||||||||
Andrew Bellamy
|
55,409 | * | 55,409 | (6 | ) | - | - | |||||||||||||||
Andrew Chandler
|
43,073 | * | 43,073 | (7 | ) | - | - | |||||||||||||||
Andrew Charles Good & Fiona McPhee (JTWROS)
|
27,244 | * | 27,244 | (8 | ) | - | - | |||||||||||||||
Anthony D'Amato
|
64,198 | * | 64,198 | (9 | ) | - | - | |||||||||||||||
Aparna Beeram
|
30,657 | * | 30,657 | (10 | ) | - | - | |||||||||||||||
Benjamin Hasty
|
103,434 | * | 103,434 | (11 | ) | - | - | |||||||||||||||
Billy W. Harris
|
22,704 | * | 22,704 | (12 | ) | - | - | |||||||||||||||
Bioche Asset Management LLC
|
-- | * | 721,068 | (13 | ) | |||||||||||||||||
Bohdan Chaban
|
85,588 | * | 85,588 | (14 | ) | - | - | |||||||||||||||
Brendan Sullivan
|
33,129 | * | 33,129 | (15 | ) | - | - | |||||||||||||||
Brian E. Jones and Peggy A. Jones (JTWROS)
|
342,351 | 1.4472 | % | 342,351 | (16 | ) | - | - | ||||||||||||||
Brian Miller IRA, (Robert W. Baird & Co., Inc. TTEE, FBO Brian Miller IRA Acct # 6144 2867)
|
173,400 | * | 173,400 | (17 | ) | - | - | |||||||||||||||
Brian Murray
|
3,636 | * | 3,636 | (18 | ) | - | - | |||||||||||||||
Brian Robertson
|
27,116 | * | 105,983 | (19 | ) | - | - | |||||||||||||||
Bruce Porter
|
30,420 | * | 30,420 | (20 | ) | - | - | |||||||||||||||
Bruno Donnou
|
90,817 | * | 90,817 | (21 | ) | - | - | |||||||||||||||
Bruno J. Casatelli
|
137,380 | * | 137,380 | (22 | ) | - | - |
Buff Trust
|
274,091 | 1.1586 | % | 274,091 | (23 | ) | - | - | ||||||||||||||
Burton Mark Paull
|
86,699 | * | 86,699 | (24 | ) | - | - | |||||||||||||||
C.S. Leslie, Malcolm
|
75,682 | * | 75,682 | (25 | ) | - | - | |||||||||||||||
Carl F. Muckenhin
|
43,349 | * | 43,349 | (26 | ) | - | - | |||||||||||||||
Carnegie Hill Asset Partners
|
-- | * | 353,023 | (27 | ) | |||||||||||||||||
Chad A. Elms
|
121,120 | * | 121,120 | (28 | ) | - | - | |||||||||||||||
Charles J. Magolske
|
17,339 | * | 17,339 | (29 | ) | - | - | |||||||||||||||
Charles L. Vinn
|
37,840 | * | 37,840 | (30 | ) | - | - | |||||||||||||||
Charles W. Ganse
|
42,409 | * | 42,409 | (31 | ) | - | - | |||||||||||||||
Chris Marshall
|
18,163 | * | 18,163 | (32 | ) | - | - | |||||||||||||||
Chris McHugh
|
237,491 | * | 237,491 | (33 | ) | - | - | |||||||||||||||
Sterne Agee & Leach Inc C/F Christina G. Einstein IRA
|
85,784 | * | 85,784 | (34 | ) | - | - | |||||||||||||||
Christopher J. Mehos
|
85,784 | * | 85,784 | (35 | ) | - | - | |||||||||||||||
Christopher Kane
|
1,435 | * | 1,435 | (36 | ) | - | - | |||||||||||||||
Christopher M. Johnston
|
43,349 | * | 43,349 | (37 | ) | - | - | |||||||||||||||
Christopher Oppito
|
26,355 | * | 26,355 | (38 | ) | - | - | |||||||||||||||
Clayton A. and Stephanie S., Reed
|
43,349 | * | 43,349 | (39 | ) | - | - | |||||||||||||||
Clint N. Duty
|
86,699 | * | 86,699 | (40 | ) | - | - | |||||||||||||||
Conor Gilligan
|
7,567 | * | 7,567 | (41 | ) | - | - | |||||||||||||||
Conor Stanley
|
138,005 | * | 138,005 | (42 | ) | - | - | |||||||||||||||
Craig Bonn
|
3,382 | * | 3,382 | (43 | ) | - | - | |||||||||||||||
Daniel P. Wikel
|
86,699 | * | 86,699 | (44 | ) | - | - | |||||||||||||||
Daniel W. Kuhar
|
2,392 | * | 2,392 | (45 | ) | - | - | |||||||||||||||
David A. Kuhar
|
26,009 | * | 26,009 | (46 | ) | - | - | |||||||||||||||
David Cantwell
|
181,176 | * | 181,176 | (47 | ) | - | - | |||||||||||||||
David Hicks Pension Fund
|
18,163 | * | 18,163 | (48 | ) | - | - | |||||||||||||||
David Patterson
|
22,704 | * | 22,704 | (49 | ) | - | - | |||||||||||||||
David W. Frost
|
241,228 | * | 241,228 | (50 | ) | - | - | |||||||||||||||
David W. Frost IRA - Sterne Agee & Leach Inc. C/F
|
6,052 | * | 6,052 | (51 | ) | - | - | |||||||||||||||
Dean L. Fox
|
346,800 | 1.4660 | % | 346,800 | (52 | ) | - | - | ||||||||||||||
Deborah L. Katz
|
42,663 | * | 42,663 | (53 | ) | - | - | |||||||||||||||
Denis O'Brien
|
867,043 | 3.6651 | % | 867,043 | (54 | ) | ||||||||||||||||
Dianne M. Scheck
|
173,400 | * | 173,400 | (55 | ) | - | - | |||||||||||||||
Donald K. Coffey
|
37,840 | * | 37,840 | (56 | ) | - | - | |||||||||||||||
Douglas A. Alcott
|
37,840 | * | 37,840 | (57 | ) | - | - | |||||||||||||||
Douglas E. Eckert
|
43,349 | * | 43,349 | (58 | ) | - | - | |||||||||||||||
Douglas J Amos & Carol A. Amos (JTWROS)
|
67,655 | * | 67,655 | (59 | ) | - | - | |||||||||||||||
Douglas R. Holroyd & Jill K. Holroyd (JTWROS)
|
67,854 | * | 67,854 | (60 | ) | - | - | |||||||||||||||
Dr. John M. Ferriter
|
42,891 | * | 42,891 | (61 | ) | - | - | |||||||||||||||
Dr. Richard & Anita Matter (JTWROS)
|
94,551 | * | 94,551 | (62 | ) | - | - | |||||||||||||||
Earl R. Richardson
|
130,049 | * | 130,049 | (63 | ) | - | - | |||||||||||||||
Edward C. Moore
|
60,560 | * | 60,560 | (64 | ) | - | - | |||||||||||||||
Edwin A. Schermerhorn Roth IRA -Sterne Agee & Leach Inc. C/F
|
37,840 | * | 37,840 | (65 | ) | - | - | |||||||||||||||
Eitner Family Trust
|
-- | * | 174,634 | (66 | ) | |||||||||||||||||
Eliana Cardenas and Roberto Mendez, (JTWROS)
|
43,136 | * | 43,136 | (67 | ) | - | - | |||||||||||||||
Enguerrand de Ponteves
|
24,163 | * | 24,163 | (68 | ) | - | - | |||||||||||||||
Eugene E. Eubank
|
37,840 | * | 37,840 | (69 | ) | - | - | |||||||||||||||
Evan Stern
|
287 | * | 287 | (70 | ) | - | - | |||||||||||||||
Francis Smith
|
30,548 | * | 30,548 | (71 | ) | - | - | |||||||||||||||
Frank Davis
|
43,349 | * | 43,349 | (72 | ) | - | - | |||||||||||||||
Garnett Trust
|
274,091 | 1.1586 | % | 274,091 | (73 | ) | - | - | ||||||||||||||
Gary M. Higdem
|
37,840 | * | 37,840 | (74 | ) | - | - | |||||||||||||||
Gary A.Washauer
|
43,349 | * | 43,349 | (75 | ) | - | - |
Gene R. Carlson & Cynthia L Carlson ( JTWROS)
|
51,253
|
*
|
51,253
|
(76
|
)
|
-
|
-
|
|||||||||||||||
George Elefther & Karin Alexa Elefther (JTWROS)
|
75,682
|
*
|
75,682
|
(77
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F George Elefther IRA
|
213,281
|
*
|
213,281
|
(78
|
)
|
-
|
-
|
|||||||||||||||
George M Zelinski
|
233,945
|
*
|
233,945
|
(79
|
)
|
-
|
-
|
|||||||||||||||
Gerhard Plaschka
|
47,235
|
*
|
47,235
|
(80
|
)
|
-
|
-
|
|||||||||||||||
Gonzalo A Salgueiro
|
102,830
|
*
|
102,830
|
(81
|
)
|
-
|
-
|
|||||||||||||||
Grant L. Hanby
|
37,840
|
*
|
37,840
|
(82
|
)
|
-
|
-
|
|||||||||||||||
Gregory F. Sullivan MD & Gene M. Sullivan (JTWROS)
|
168,280
|
*
|
168,280
|
(83
|
)
|
-
|
-
|
|||||||||||||||
Harold O. LaFlash and Greta G. LaFlash (JTWROS)
|
43,349
|
*
|
43,349
|
(84
|
)
|
-
|
-
|
|||||||||||||||
Harvest Financial Services Ltd. as Qualifying Fund Manager of the Chris McHugh ARF
|
212,131
|
*
|
212,131
|
(85
|
)
|
-
|
-
|
|||||||||||||||
Helmut Koehler
|
45,409
|
*
|
45,409
|
(86
|
)
|
-
|
-
|
|||||||||||||||
Hicks Foods Ltd.
|
29,970
|
*
|
29,970
|
(87
|
)
|
-
|
-
|
|||||||||||||||
Hochman Family LLP
|
27,244
|
*
|
27,244
|
(88
|
)
|
-
|
-
|
|||||||||||||||
Hugh J. Marasa Jr.
|
25,306
|
*
|
25,306
|
(89
|
)
|
-
|
-
|
|||||||||||||||
Hugh Regan
|
44,045
|
*
|
44,045
|
(90
|
)
|
-
|
-
|
|||||||||||||||
Ian H. Murray
|
400,489
|
1.6929
|
%
|
400,489
|
(91
|
)
|
-
|
-
|
||||||||||||||
Immotrend Inc.
|
408,772
|
1.7279
|
%
|
408,772
|
(92
|
)
|
-
|
-
|
||||||||||||||
Island Capital Nominees Ltd.
|
416,250
|
1.7595
|
%
|
416,250
|
(93
|
)
|
-
|
-
|
||||||||||||||
J. Brian Boulter
|
151,362
|
*
|
151,362
|
(94
|
)
|
-
|
-
|
|||||||||||||||
James Ahern
|
128,436
|
*
|
1,001,604
|
(95
|
)
|
-
|
-
|
|||||||||||||||
James G. Markey and Carolyn L. Markey (JTWROS)
|
15,135
|
*
|
15,135
|
(96
|
)
|
-
|
-
|
|||||||||||||||
James L. Payne
|
60,545
|
*
|
60,545
|
(97
|
)
|
-
|
-
|
|||||||||||||||
James M. Wimberly
|
43,349
|
*
|
43,349
|
(98
|
)
|
-
|
-
|
|||||||||||||||
James Payne
|
102,507
|
*
|
102,507
|
(99
|
)
|
-
|
-
|
|||||||||||||||
James Provenzano
|
531
|
*
|
531
|
(100
|
)
|
-
|
-
|
|||||||||||||||
James T. Dietz & Barbara J. Dietz (JTWROS)
|
22,704
|
*
|
22,704
|
(101
|
)
|
-
|
-
|
|||||||||||||||
Holly J. Thompson
|
1,913
|
*
|
1,913
|
(102
|
)
|
-
|
-
|
|||||||||||||||
James W. Lees
|
103,909
|
*
|
103,909
|
(103
|
)
|
-
|
-
|
|||||||||||||||
Jan J. Laskowski and Sofia M. Laskowski (JTWROS)
|
86,699
|
*
|
86,699
|
(104
|
)
|
-
|
-
|
|||||||||||||||
Jared Sullivan & Shannan Sullivan (JTWROS)
|
32,253
|
*
|
32,253
|
(105
|
)
|
-
|
-
|
|||||||||||||||
Jason Russo
|
10,789
|
*
|
10,789
|
(106
|
)
|
-
|
-
|
|||||||||||||||
Jeff C. Kleinschmidt
|
151,362
|
*
|
151,362
|
(107
|
)
|
-
|
-
|
|||||||||||||||
Jeff L. Stevens
|
90,817
|
*
|
90,817
|
(108
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F Jimmy R. Hasley IRA
|
243,980
|
*
|
243,980
|
(109
|
)
|
-
|
-
|
|||||||||||||||
John Pimpinella & Bernadette Mueller (JTWROS)
|
17,339
|
*
|
17,339
|
(110
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F John H. Welsh Roth IRA
|
42,663
|
*
|
42,663
|
(111
|
)
|
-
|
-
|
|||||||||||||||
John L. Sommer IRA, SAL C/F
|
260,099
|
1.0995
|
%
|
260,099
|
(112
|
)
|
-
|
-
|
||||||||||||||
John M. Duffy
|
43,162
|
*
|
43,162
|
(113
|
)
|
-
|
-
|
|||||||||||||||
John M. Harrington
|
--
|
*
|
15,022
|
(114
|
)
|
|||||||||||||||||
John Malfer & Toni Malfer (JTWROS)
|
121,120
|
*
|
121,120
|
(115
|
)
|
-
|
-
|
|||||||||||||||
John W. Eilers, Jr
|
43,136
|
*
|
43,136
|
(116
|
)
|
-
|
-
|
|||||||||||||||
John-Paul Eitner
|
12,738
|
*
|
91,605
|
(117
|
)
|
-
|
-
|
|||||||||||||||
Jorge Borbolla
|
45,136
|
*
|
45,136
|
(118
|
) |
-
|
9
|
|||||||||||||||
Joseph Fedorko
|
4,306
|
*
|
4,306
|
(119
|
)
|
-
|
-
|
|||||||||||||||
Joseph P. Acquavella
|
7,567
|
*
|
7,567
|
(120
|
)
|
-
|
-
|
|||||||||||||||
Joseph Rozof
|
5,550
|
*
|
5,550
|
(121
|
)
|
-
|
-
|
|||||||||||||||
Joseph T. Oppito
|
26,009
|
*
|
26,009
|
(122
|
)
|
-
|
-
|
|||||||||||||||
Justin McKenna
|
22,702
|
*
|
22,702
|
(123
|
)
|
-
|
-
|
|||||||||||||||
Keith A. Zar
|
124,539
|
*
|
124,539
|
(124
|
)
|
-
|
-
|
|||||||||||||||
Ken. R. Klimitchek
|
85,325
|
*
|
85,325
|
(125
|
)
|
-
|
-
|
|||||||||||||||
Kenneth G. Williamson
|
102,507
|
*
|
102,507
|
(126
|
)
|
-
|
-
|
|||||||||||||||
Kenneth N. Larsen Trust U/A/D 9/25/09, Kenneth N. Larsen Trustee
|
86,699
|
*
|
86,699
|
(127
|
)
|
-
|
-
|
|||||||||||||||
Kevin J. Poor
|
21,796
|
*
|
21,796
|
(128
|
)
|
-
|
-
|
|||||||||||||||
Kevin Lynch
|
12,108
|
*
|
12,108
|
(129
|
)
|
-
|
-
|
|||||||||||||||
Kevin O'Connor
|
22,913
|
*
|
22,913
|
(130
|
)
|
-
|
-
|
|||||||||||||||
Kevin P. McCarthy
|
189,529
|
*
|
189,529
|
(131
|
)
|
-
|
-
|
|||||||||||||||
Kevin R. Wilson
|
17,868
|
*
|
62,935
|
(132
|
)
|
-
|
-
|
Kimberly J. Macurdy IRA - Sterne Agee & Leach Inc. C/F
|
22,702
|
*
|
22,702
|
(133
|
)
|
-
|
-
|
|||||||||||||||
Lachewitz Jr. IRA (Sterne Agee & Leach Inc. C/F Walter J. Lachewitz Jr. IRA)
|
37,840
|
*
|
37,840
|
(134
|
)
|
-
|
-
|
|||||||||||||||
Laidlaw Holdings Limited
|
86,612
|
*
|
86,612
|
(135
|
)
|
-
|
-
|
|||||||||||||||
Lance Ziaks & Janet Ziaks JTWROS
|
16,963
|
*
|
16,963
|
(136
|
)
|
-
|
-
|
|||||||||||||||
Lark Enterprises, Ltd.
|
85,325
|
*
|
85,325
|
(137
|
)
|
-
|
-
|
|||||||||||||||
Larry G. Majerus
|
64,129
|
*
|
64,129
|
(138
|
)
|
-
|
-
|
|||||||||||||||
Laurence B. Jacobs
|
36,327
|
*
|
36,327
|
(139
|
)
|
-
|
-
|
|||||||||||||||
Lindsay Aranha
|
--
|
*
|
15,022
|
(140
|
)
|
|||||||||||||||||
Jon H. Lytle and Carrie M. Lytle (JTWROS)
|
85,325
|
*
|
85,325
|
(141
|
)
|
-
|
-
|
|||||||||||||||
Gary J Mabie, Janelle L Mabie (JTWROS)
|
18,509
|
*
|
18,509
|
(142
|
)
|
-
|
-
|
|||||||||||||||
Maree Casatelli
|
9,081
|
*
|
9,081
|
(143
|
)
|
-
|
-
|
|||||||||||||||
Maree Casatelli SEP IRA - Sterne Agee & Leach Inc. C/F Maree
|
13,621
|
*
|
13,621
|
(144
|
)
|
-
|
-
|
|||||||||||||||
Mark A. Maki & Sara L. Maki (JTWROS)
|
75,682
|
*
|
75,682
|
(145
|
)
|
-
|
-
|
|||||||||||||||
Mark C. Jasek
|
22,704
|
*
|
22,704
|
(146
|
)
|
-
|
-
|
|||||||||||||||
Mark Suwyn Roth IRA - Sterne Agee & Leach Inc. C/F
|
225,317
|
*
|
225,317
|
(147
|
)
|
-
|
-
|
|||||||||||||||
Marvin S. Rosen
|
46,818
|
*
|
46,818
|
(148
|
)
|
-
|
-
|
|||||||||||||||
Matthew Eitner
|
128,436
|
*
|
826,970
|
(149
|
)
|
-
|
-
|
|||||||||||||||
Matthew Reid
|
86,699
|
*
|
86,699
|
(150
|
)
|
-
|
-
|
|||||||||||||||
Matura Family Trust US 05-26-1998
|
37,840
|
*
|
37,840
|
(151
|
) |
-
|
-
|
|||||||||||||||
Michael Ahern
|
2,145
|
*
|
2,145
|
(152
|
)
|
-
|
-
|
|||||||||||||||
Michael B. Carroll & Sheila J. Carroll (JTWROS)
|
471,515
|
1.9932
|
%
|
471,515
|
(153
|
)
|
-
|
-
|
||||||||||||||
Michael D. Watson
|
31,794
|
*
|
31,794
|
(154
|
)
|
-
|
-
|
|||||||||||||||
Michael E. Whitley
|
43,349
|
*
|
43,349
|
(155
|
)
|
-
|
-
|
|||||||||||||||
Michael Engdall & Susan Engdall (JTWROS)
|
139,665
|
*
|
139,665
|
(156
|
)
|
-
|
-
|
Michael K. Barber & Julia Barber (JTWROS)
|
127,701
|
*
|
127,701
|
(157
|
)
|
-
|
-
|
|||||||||||||||
Michael L. Turner
|
34,679
|
*
|
34,679
|
(158
|
)
|
-
|
-
|
|||||||||||||||
Michael M. Hart
|
17,199
|
*
|
17,199
|
(159
|
)
|
-
|
-
|
|||||||||||||||
Michael Murray
|
22,058
|
*
|
100,925
|
(160
|
)
|
-
|
-
|
|||||||||||||||
Michael R. Chambers
|
43,349
|
*
|
43,349
|
(161
|
)
|
-
|
-
|
|||||||||||||||
Michael Stanley
|
51,470
|
*
|
51,470
|
(162
|
)
|
-
|
-
|
|||||||||||||||
Minta Group LLC
|
42,663
|
*
|
42,663
|
(163
|
)
|
-
|
-
|
|||||||||||||||
Nabil M. Yazgi
|
73,955
|
*
|
73,955
|
(164
|
)
|
-
|
-
|
|||||||||||||||
Nabil Yazgi MD PA 401(K) Profit Sharing Plan and Trust
|
13,621
|
*
|
13,621
|
(165
|
)
|
-
|
-
|
|||||||||||||||
Nabil Yazgi MD PA Cash Balance Plan & Trust 12-28-2008
|
7,567
|
*
|
7,567
|
(166
|
)
|
-
|
-
|
|||||||||||||||
Nicholas Gupta
|
909
|
*
|
909
|
(167
|
)
|
-
|
-
|
|||||||||||||||
Patrick Maddren
|
455
|
*
|
455
|
(168
|
)
|
-
|
-
|
|||||||||||||||
Patrick S. Thomas
|
37,840
|
*
|
37,840
|
(169
|
)
|
-
|
-
|
|||||||||||||||
Paul A. Wildberger & Janice Wildberger (JTWROS)
|
151,362
|
*
|
151,362
|
(170
|
)
|
-
|
-
|
|||||||||||||||
Peter H. Colettis
|
37,840
|
*
|
37,840
|
(171
|
)
|
-
|
-
|
|||||||||||||||
Peter H. Silverman
|
1,637
|
*
|
1,637
|
(172
|
)
|
-
|
-
|
|||||||||||||||
Peter J. and Tiffany B. Zaborowski, (JTWROS)
|
249,082
|
*
|
249,082
|
(173
|
)
|
-
|
-
|
|||||||||||||||
Peter Malone
|
287
|
*
|
287
|
(174
|
)
|
-
|
-
|
|||||||||||||||
Philip Stephenson
|
37,840
|
*
|
37,840
|
(175
|
)
|
-
|
-
|
|||||||||||||||
Phillip Todd Herndon
|
127,989
|
*
|
127,989
|
(176
|
)
|
-
|
-
|
|||||||||||||||
Rafael Penunuri
|
30,272
|
*
|
30,272
|
(177
|
)
|
-
|
-
|
|||||||||||||||
Raja Appachi
|
45,407
|
*
|
45,407
|
(178
|
)
|
-
|
-
|
|||||||||||||||
Randall L & Kathy S Payne (JTWROS)
|
51,253
|
*
|
51,253
|
(179
|
)
|
-
|
-
|
|||||||||||||||
Randy Payne IRA (Sterne Agee & Leach Inc. C/F Randy Payne IRA)
|
37,840
|
*
|
37,840
|
(180
|
)
|
-
|
-
|
|||||||||||||||
Ray Sinnott
|
58,665
|
*
|
58,665
|
(181
|
)
|
-
|
-
|
|||||||||||||||
Ray Sinnott Pension Fund
|
22,053
|
*
|
22,053
|
(182
|
)
|
-
|
-
|
|||||||||||||||
Reed Family Trust DTD 06-24-1999 Clayton A Reed & Stephanie S. Reed TTEES
|
45,409
|
*
|
45,409
|
(183
|
)
|
-
|
-
|
|||||||||||||||
Rex A. Jones
|
343,136
|
1.4505
|
%
|
343,136
|
(184
|
)
|
-
|
-
|
||||||||||||||
Richard A. Levine
|
950,291
|
4.0170
|
%
|
950,291
|
(185
|
)
|
-
|
-
|
||||||||||||||
Richard Brewster
|
22,913
|
*
|
22,913
|
(186
|
)
|
-
|
-
|
|||||||||||||||
Richard Burgess
|
22,702
|
*
|
22,702
|
(187
|
)
|
-
|
-
|
|||||||||||||||
Richard Buttine
|
3,136
|
*
|
3,136
|
(188
|
)
|
-
|
-
|
|||||||||||||||
Richard G. Michalski
|
25,412
|
*
|
250,746
|
(189
|
)
|
-
|
-
|
|||||||||||||||
Richard L. Herweck
|
17,339
|
*
|
17,339
|
(190
|
)
|
-
|
-
|
|||||||||||||||
Rikin Jobanputra
|
7,318
|
*
|
7,318
|
(191
|
)
|
-
|
-
|
Rippee Mineral Management LLC
|
50,905
|
*
|
50,905
|
(192
|
)
|
|||||||||||||||||
Robert Bonaventura
|
35,458
|
*
|
35,458
|
(193
|
)
|
-
|
-
|
|||||||||||||||
Robert Dunn
|
173,400
|
*
|
173,400
|
(194
|
)
|
-
|
-
|
|||||||||||||||
Robert H. Krauch
|
346,800
|
1.4660
|
%
|
346,800
|
(195
|
)
|
-
|
-
|
||||||||||||||
Robert Hair
|
22,704
|
*
|
22,704
|
(196
|
)
|
-
|
-
|
|||||||||||||||
Robert J Laubenthal
|
51,415
|
*
|
51,415
|
(197
|
)
|
-
|
-
|
|||||||||||||||
Robert LeBoyer
|
1,665
|
*
|
1,665
|
(198
|
)
|
-
|
-
|
|||||||||||||||
Robert N. Blank
|
43,349
|
*
|
43,349
|
(199
|
)
|
-
|
-
|
|||||||||||||||
Robert Rotunno
|
2,255
|
*
|
2,255
|
(200
|
)
|
-
|
-
|
|||||||||||||||
Robert T. Stapell
|
43,349
|
*
|
43,349
|
(201
|
)
|
-
|
-
|
|||||||||||||||
Roger Conan
|
242,630
|
*
|
242,630
|
(202
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F Roger K. Cady R/O IRA
|
85,658
|
*
|
85,658
|
(203
|
)
|
-
|
-
|
|||||||||||||||
Ron D. Craig
|
345,393
|
1.4600
|
%
|
345,393
|
(204
|
)
|
-
|
-
|
||||||||||||||
Ron Zuckerman
|
7,090
|
*
|
7,090
|
(205
|
)
|
-
|
-
|
|||||||||||||||
Ronald J. Woodward
|
37,840
|
*
|
37,840
|
(206
|
)
|
-
|
-
|
|||||||||||||||
Ronald A. Soicher
|
60,689
|
*
|
60,689
|
(207
|
)
|
-
|
-
|
|||||||||||||||
Ryan Turcotte
|
26,609
|
*
|
26,609
|
(208
|
)
|
-
|
-
|
|||||||||||||||
Sandesh Seth
|
121,958
|
*
|
121,958
|
(209
|
)
|
-
|
-
|
|||||||||||||||
Sandra F. Tomlinson
|
64,402
|
*
|
64,402
|
(210
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F Pat Schneider IRA
|
61,504
|
*
|
61,504
|
(211
|
)
|
-
|
-
|
|||||||||||||||
Scott L. Byer
|
43,349
|
*
|
43,349
|
(212
|
)
|
-
|
-
|
|||||||||||||||
Seal Rock 1, LLC
|
60,545
|
*
|
60,545
|
(213
|
)
|
-
|
-
|
|||||||||||||||
Sepulveda Roth IRA (Sterne Agee & Leach Inc. C/F Mercedes Sepulveda Roth IRA)
|
90,817
|
*
|
90,817
|
(214
|
)
|
-
|
-
|
|||||||||||||||
Sharon M. Smith
|
16,874
|
*
|
16,874
|
(215
|
)
|
-
|
-
|
|||||||||||||||
Simon C. Guscott
|
51,353
|
*
|
51,353
|
(216
|
)
|
-
|
-
|
|||||||||||||||
Sohin Shah
|
832
|
*
|
832
|
(217
|
)
|
-
|
-
|
|||||||||||||||
Srinivasa Rajan
|
8,481
|
*
|
8,481
|
(218
|
)
|
-
|
-
|
|||||||||||||||
Stephen and Tracy Park, (JTWROS)
|
51,764
|
*
|
51,764
|
(219
|
)
|
-
|
-
|
|||||||||||||||
Stephen Fischgrund
|
26,009
|
*
|
26,009
|
(220
|
)
|
-
|
-
|
Stephen Hamilton
|
90,798
|
*
|
90,798
|
(221
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F JB Trahern Bene Owner Ann Trahern DCSD IRA
|
44,614
|
*
|
44,614
|
(222
|
)
|
-
|
-
|
|||||||||||||||
Steven De Decker & Diop Diatou (JTWROS)
|
75,682
|
*
|
75,682
|
(223
|
)
|
-
|
-
|
|||||||||||||||
Steven K. Nelson
|
37,840
|
*
|
37,840
|
(224
|
)
|
-
|
-
|
|||||||||||||||
Steven W. Poe and Judith L. Poe (JTWROS)
|
17,118
|
*
|
17,118
|
(225
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F Gregory F. Sullivan II Roth IRA
|
8,481
|
*
|
8,481
|
(226
|
)
|
-
|
-
|
|||||||||||||||
Susan H. Lu
|
18,163
|
*
|
18,163
|
(227
|
)
|
-
|
-
|
|||||||||||||||
Syntec Scientific Ltd. by Ray Sinnott
|
167,987
|
*
|
167,987
|
(228
|
)
|
-
|
-
|
|||||||||||||||
Thomas and Lillian Murray, (JTWROS)
|
17,156
|
*
|
17,156
|
(229
|
)
|
-
|
-
|
|||||||||||||||
Thomas C Pugh
|
51,253
|
*
|
51,253
|
(230
|
)
|
-
|
-
|
|||||||||||||||
Thomas G. Hoffman
|
178,512
|
*
|
178,512
|
(231
|
)
|
-
|
-
|
|||||||||||||||
Thomas J. Moore & Cathleen Moore (JTWROS)
|
89,093
|
*
|
89,093
|
(232
|
)
|
-
|
-
|
|||||||||||||||
Timothy A. Kippenhan
|
75,682
|
*
|
75,682
|
(233
|
)
|
-
|
-
|
|||||||||||||||
Timothy C. Behr
|
6,171
|
*
|
6,171
|
(234
|
)
|
-
|
-
|
|||||||||||||||
Timothy E. Lemaster
|
95,369
|
*
|
95,369
|
(235
|
)
|
-
|
-
|
|||||||||||||||
Timothy J. and Catherine A. Pellegrini (JTWROS)
|
43,349
|
*
|
43,349
|
(236
|
)
|
-
|
-
|
|||||||||||||||
Timothy J. Kane & Annette K. Kane (JTWROS)
|
51,353
|
*
|
51,353
|
(237
|
)
|
-
|
-
|
|||||||||||||||
Timothy J. Rinker
|
43,349
|
*
|
43,349
|
(238
|
)
|
-
|
-
|
|||||||||||||||
Timothy P. Johnston
|
82,364
|
*
|
82,364
|
(239
|
)
|
-
|
-
|
|||||||||||||||
Timothy Wieghaus
|
126,599
|
*
|
126,599
|
(240
|
)
|
-
|
-
|
|||||||||||||||
Tracy N. Poe
|
93,155
|
*
|
93,155
|
(241
|
)
|
-
|
-
|
|||||||||||||||
Sterne Agee & Leach Inc. C/F Tracy N. Poe Roth IRA
|
50,890
|
*
|
50,890
|
(242
|
)
|
|||||||||||||||||
Uday Dandamudi
|
22,704
|
*
|
22,704
|
(243
|
)
|
-
|
-
|
|||||||||||||||
Variety Investments Limited
|
515,980
|
2.1811
|
%
|
515,980
|
(244
|
)
|
-
|
-
|
||||||||||||||
Velcro LLC
|
90,817
|
*
|
90,817
|
(245
|
)
|
-
|
-
|
|||||||||||||||
Vinod Moras
|
832
|
*
|
832
|
(246
|
)
|
-
|
-
|
|||||||||||||||
Willard L Simons
|
32,802
|
*
|
32,802
|
(247
|
)
|
-
|
-
|
|||||||||||||||
Willard L. Simons IRA - Sterne Agee & Leach Inc. C/F
|
31,794
|
*
|
31,794
|
(248
|
)
|
-
|
-
|
|||||||||||||||
William A. and Barbara B. Valka, (JTWROS)
|
43,349
|
*
|
43,349
|
(249
|
)
|
-
|
-
|
|||||||||||||||
William H. Hieronymus
|
151,362
|
*
|
151,362
|
(250
|
)
|
-
|
-
|
|||||||||||||||
William J. Diamond & Andrea Sullivan (JTWROS)
|
18,163
|
*
|
18,163
|
(251
|
)
|
-
|
-
|
|||||||||||||||
William L. Lane & Leann Lane (JTWROS)
|
37,840
|
*
|
37,840
|
(252
|
)
|
-
|
-
|
|||||||||||||||
William Wade Brawley
|
43,349
|
*
|
43,349
|
(253
|
)
|
-
|
-
|
|||||||||||||||
William Woodford
|
22,704
|
*
|
22,704
|
(254
|
)
|
-
|
-
|
|||||||||||||||
Wilson, William, III and Wilson, Patricia White COTTEE of The Wilson Family Restated Living Trust UTA dtd 04/2004
|
173,400
|
*
|
173,400
|
(255
|
)
|
-
|
-
|
|||||||||||||||
Wojciech Rybacki
|
24,975
|
*
|
24,975
|
(256
|
)
|
-
|
-
|
|||||||||||||||
Xiaowei Zhou
|
18,359
|
*
|
18,359
|
(257
|
)
|
-
|
-
|
|||||||||||||||
Yogesh Desai
|
45,407
|
*
|
45,407
|
(258
|
)
|
-
|
-
|
|||||||||||||||
TOTAL
|
20,838,703
|
24,594,265
|
1
|
Includes (i) 89,367 shares of common stock and (ii) 21,953 shares of common stock issuable upon the exercise of the Stock Offering warrants (Adam Baker).
|
2
|
Includes (i) 22,533 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownership as such. (Alan Aranha).
|
3
|
Includes (i) 76,525 shares of common stock and (ii) 18,239 shares of common stock issuable upon the exercise of the Stock Offering warrants. Albert H. Konetzni, Jr. and Shirley A. Konetzni may be deemed to be the beneficial owner of the shares of our common stock held by Albert H. Konetzni Jr. and Shirley A. Konetzni JT TEN. (Albert H. Konetzni Jr. & Shirley A. Konetzni JT TEN).
|
4
|
Includes (i) 60,545 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants. Alexander Sepulveda may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F Alexander Sepulveda IRA. (Sterne Agee & Leach Inc. C/F Alexander Sepulveda IRA),
|
5
|
Includes (i) 99,617 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78, exercisable on a cashless basis issued to Amrosan, LLC, a partnership in which the majority member interest is owned by the family of Mr. Seth, a Director of Actinium and (ii) 375,556 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownership as such. Mr. Alan Aranha has voting and/or investment power over the common stock of Actinium owned by Amrosan, LLC. (Amrosan, LLC).
|
6
|
Includes (i) 40,273 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants (Andrew Bellamy).
|
7
|
Includes (i) 34,458 shares of common stock and (ii) 8,615 shares of common stock issuable upon the exercise of the Stock Offering warrants (Andrew Chandler).
|
8
|
Includes (i) 18,163 shares of common stock and (ii) 9,081 shares of common stock issuable upon exercise of the Series B warrants. Andrew Charles Good & Fiona McPhee may be deemed to be the beneficial owner of the shares of our common stock held by Andrew Charles Good & Fiona McPhee (JTWROS). (Andrew Charles Good & Fiona McPhee (JTWROS)).
|
9
|
Includes (i) 51,359 shares of common stock, (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 6,785 shares of common stock issuable upon exercise of the Stock Offering warrants (Anthony D'Amato).
|
10
|
Includes (i) 11,305 shares of common stock and (ii) 19,352 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Ms. Beeram is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Aparna Beeram).
|
11
|
Includes (i) 83,461 shares of common stock and (ii) 19,973 shares of common stock issuable upon the exercise of the Stock Offering warrants. (Benjamin Hasty).
|
12
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Billy W. Harris).
|
13
|
Includes (i) 721,068 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownership as such. Ms. Lindsay Aranha has voting and/or investment power over the common stock of Actinium owned by Bioche Asset Management, LLC (Bioche Asset Management LLC).
|
14
|
Includes (i) 68,470 shares of common stock and (ii) 17,118 shares of common stock issuable upon the exercise of the Stock Offering warrants (Bohdan Chaban).
|
15
|
Includes (i) 31,616 shares of common stock and (ii) 1,513 shares of common stock issuable upon exercise of the Series B warrants (Brendan Sullivan).
|
16
|
Includes (i) 273,881 shares of common stock and (ii) 68,470 shares of common stock issuable upon the exercise of the Stock Offering warrants. Brian E. Jones and Peggy A. Jones may be deemed to be the beneficial owner of the shares of our common stock held by Brian E. Jones and Peggy A. Jones (JTWROS). (Brian E. Jones and Peggy A. Jones).
|
17
|
Includes (i) 138,720 shares of common stock and (ii) 34,680 shares of common stock issuable upon exercise of the Stock Offering warrants. Brian Miller may be deemed to be the beneficial owner of the shares of our common stock held by Miller, Brian IRA (Robert W. Baird & Co., Inc. TTEE, FBO Brian Miller IRA Acct # 6144 2867. (Robert W. Baird & Co., Inc. TTEE, FBO Brian Miller IRA Acct # 6144 2867)).
|
18
|
Includes (i) 3,636 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Murray is affiliated with the Placement Agent of the Stock Offering (Brian Murray).
|
19
|
Includes (i) 20,874 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 78,867 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 6,242 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Robertson is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering. (Brian Robertson).
|
20
|
Includes (i) 30,420 shares of common stock. Mr. Porter is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Bruce Porter).
|
21
|
Includes (i) 60,545 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (Bruno Donnou).
|
22
|
Includes (i) 110,761 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 11,483 shares of common stock issuable upon the exercise of the Stock Offering warrants (Bruno J. Casatelli).
|
23
|
Includes (i) 199,236 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 74,855 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Buff Trust is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Buff Trust). John Tesse has voting and/or investment power over the common stock of Actinium owned by the Buff Trust.
|
24
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon exercise of the Stock Offering warrants (Burton Mark Paull).
|
25
|
Includes (i) 60,546 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants (Malcolm C.S. Leslie).
|
26
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Carl F. Muckenhin).
|
27
|
Includes (i) 353,023 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. Mr. Alan Aranha has voting and/or investment power over the common stock of Actinium owned by Carnegie Hill Asset Partners (Carnegie Hill Asset Partners).
|
28
|
Includes (i) 90,848 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (Chad A. Elms).
|
29 | Includes (i) 13,871 shares of common stock and (ii) 3,468 shares of common stock issuable upon exercise of the Stock Offering warrants (Charles J. Magolske). |
30 | Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Charles L. Vinn). |
31 | Includes (i) 33,927 shares of common stock and (ii) 8,482 shares of common stock issuable upon the exercise of the Stock Offering warrants (Charles W. Ganse). |
32 | Includes (i) 12,109 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants (Chris Marshall). |
33
|
Includes (i) 189,993 shares of common stock and (ii) 47,498 shares of common stock issuable upon exercise of the Stock Offering warrants (Chris McHugh).
|
34
|
Includes (i) 68,627 shares of common stock and (ii) 17,157 shares of common stock issuable upon the exercise of the Stock Offering warrants. Christina Einstein may be deemed to be the beneficial owner of the shares of our common stock held by Sterne Agee & Leach Inc. C/F Christina G. Einstein IRA. (Sterne Agee & Leach Inc C/F Christina G. Einstein IRA).
|
35
|
Includes (i) 68,627 shares of common stock and (ii) 17,157 shares of common stock issuable upon exercise of the Stock Offering warrants (Christopher J. Mehos).
|
36
|
Includes (i) 1,435 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Kane is affiliated with the Placement Agent of the Stock Offering Offering (Christopher Kane).
|
37
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Christopher M. Johnston).
|
38
|
Includes (i) 23,627 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78 and (ii) 2,728 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Oppito is affiliated with the Placement Agent of the Stock Offering Offering and the 2012 Common Stock Offering. (Christopher Oppito.).
|
39
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Clayton A. and Stephanie S., Reed).
|
40
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon the exercise of the Stock Offering warrants (Clint N. Duty).
|
41
|
Includes (i) 6,054 shares of common stock and (ii) 1,513 shares of common stock issuable upon exercise of the Series B warrants (Conor Gilligan).
|
42
|
Includes (i) 110,404 shares of common stock and (ii) 27,601 shares of common stock issuable upon exercise of the Stock Offering warrants (Conor Stanley).
|
43
|
Includes (i) 3,382 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Bonn is affiliated with the Placement Agent of the 2012 Common Stock Offering (Craig Bonn).
|
44
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon exercise of the Stock Offering warrants (Daniel P. Wikel).
|
45
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon exercise of the Stock Offering warrants (Daniel P. Wikel).
|
46
|
Includes (i) 20,807 shares of common stock and (ii) 5,202 shares of common stock issuable upon the exercise of the Stock Offering warrants (David A. Kuhar).
|
47
|
Includes (i) 144,941 shares of common stock and (ii) 36,235 shares of common stock issuable upon the exercise of the Stock Offering warrants (David Cantwell).
|
48
|
Includes (i) 12,109 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants. David Hicks may be deemed to be the beneficial owner of the shares of our common stock held by the David Hicks Pension Fund. (David Hicks Pension Fund).
|
49
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (David Patterson).
|
50
|
Includes (i) 193,331 shares of common stock, (ii) 28,759 shares of common stock issuable upon exercise of the Series B warrants and (iii) 19,138 shares of common stock issuable upon exercise of the Stock Offering Warrants (David W. Frost).
|
51
|
Includes (i) 4,842 shares of common stock and (ii) 1,210 shares of common stock issuable upon exercise of the Series B warrants. David Frost may be deemed to be the beneficial owner of the shares of our common stock held by Frost IRA - Sterne Agee & Leach Inc. C/F David W. (David W. Frost IRA - Sterne Agee & Leach Inc. C/F David W.).
|
52
|
Includes (i) 277,440 shares of common stock and (ii) 69,360 shares of common stock issuable upon the exercise of the Stock Offering warrants (Dean L. Fox).
|
53
|
Includes (i) 34,130 shares of common stock and (ii) 8,533 shares of common stock issuable upon the exercise of the Stock Offering warrants (Deborah L. Katz).
|
54
|
Includes (i) 693,634 shares of common stock and (ii) 173,409 shares of common stock issuable upon the exercise of the Stock Offering warrants (Denis O'Brien).
|
55
|
Includes (i) 138,720 shares of common stock and (ii) 34,680 shares of common stock issuable upon exercise of the Stock Offering warrants (Dianne M. Scheck).
|
56
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Donald K. Coffey).
|
57
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Douglas A. Alcott).
|
58
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Dougles E. Eckert).
|
59
|
Includes (i) 55,024 shares of common stock and (ii) 12,631 shares of common stock issuable upon the exercise of the Stock Offering warrants (Douglas J Amos & Carol A Amos, JTWROS).
|
60
|
Includes (i) 54,283 shares of common stock and (ii) 13,571 shares of common stock issuable upon the exercise of the Stock Offering warrants. Douglas R. Holroyd & Jill K. Holroyd may be deemed to be the beneficial owner of the shares of our common stock held by Douglas R. Holroyd & Jill K. Holroyd (JTWROS). (Douglas R. Holroyd & Jill K. Holroyd (JTWROS)).
|
61
|
Includes (i) 34,313 shares of common stock and (ii) 8,578 shares of common stock issuable upon the exercise of the Stock Offering warrants (Dr. John M. Ferriter).
|
62
|
Includes (i) 76,355 shares of common stock and (ii) 18,196 shares of common stock issuable upon exercise of the Stock Offering warrants. Dr. Richard and Anita Matter may be deemed to be the beneficial owner of the shares of our common stock held by Dr. Richard and Anita Matter (JTWROS). (Dr. Richard and Anita Matter (JTWROS)).
|
63
|
Includes (i) 104,039 shares of common stock and (ii) 26,010 shares of common stock issuable upon exercise of the Stock Offering warrants (Earl R. Richardson).
|
64
|
Includes (i) 45,424 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants (Edward C. Moore).
|
65
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. Edwin A. Schermerhorn may be deemed to be the beneficial owner of the shares of our common stock held by the Schermerhorn Roth IRA -Sterne Agee & Leach Inc. C/F Edwin A. (Edwin A. Schermerhorn Roth IRA -Sterne Agee & Leach Inc. C/F).
|
66 | Includes (i) 174,634 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. John Coolong has voting and/or investment power over the common stock of Actinium owned by the Eitner Family Trust (Eitner Family Trust). |
67
|
Includes (i) 34,509 shares of common stock and (ii) 8,627 shares of common stock issuable upon exercise of the Stock Offering warrants. Eliana Cardenas Mendez and Roberto Mendez may be deemed to be the beneficial owner of the shares of our common stock held by Mendez, Eliana Cardenas and Roberto (JTWROS). (Eliana Cardenas and Roberto Mendez, (JTWROS)).
|
68
|
Includes (i) 18,109 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants (Enguerrand de Ponteves).
|
69
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Eugene E. Eubank).
|
70
|
Includes (i) 287 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Stern is affiliated with the Placement Agent of the Stock Offering (Evan Stern).
|
71
|
Includes (i) 20,174 shares of common stock and (ii) 10,374 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Smith is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Francis Smith.).
|
72
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Frank Davis).
|
73
|
Includes (i) 199,236 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 74,855 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Garnett Trust is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Garnett Trust.). John Tesse has voting and/or investment power over the common stock of Actinium owned by the Garnett Trust.
|
74
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Gary M. Higdem).
|
75
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Gary A. Washauer).
|
76
|
Includes (i) 41,684 shares of common stock and (ii) 9,569 shares of common stock issuable upon the exercise of the Stock Offering warrants (Gene R Carlson & Cynthia L Carlson (JTWROS)).
|
77
|
Includes (i) 60,546 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants. George Elefther & Karin Alexa Elefther may be deemed to be the beneficial owner of the shares of our common stock held by George Elefther & Karin Alexa Elefther (JTWROS). (George Elefther & Karin Alexa Elefther (JTWROS)).
|
78
|
Includes (i) 170,625 shares of common stock and (ii) 42,656 shares of common stock issuable upon the exercise of the Stock Offering warrants (Sterne Agee & Leach Inc. C/F George Elefther IRA).
|
79
|
Includes (i) 184,129 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 34,680 shares of common stock issuable upon exercise of the Stock Offering warrants (George M Zelinski).
|
80
|
Includes (i) 37,788 shares of common stock, (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 3,393 shares of common stock issuable upon exercise of the Stock Offering warrants (Gerhard Plaschka).
|
81
|
Includes (i) 83,692 shares of common stock and (ii) 19,138 shares of common stock issuable upon the exercise of the Stock Offering warrants (Gonzalo A Salgueiro).
|
82
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Grant L. Hanby).
|
83
|
Includes (i) 134,624 shares of common stock, (ii) 13,017 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 20,639 shares of common stock issuable upon exercise of the Stock Offering warrants. Gregory F. Sullivan & Gene M. Sullivan may be deemed to be the beneficial owner of the shares of our common stock held by Gregory F. Sullivan MD & Gene M. Sullivan (JTWROS). (Gregory F. Sullivan MD & Gene M. Sullivan (JTWROS)).
|
84
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants. Harold O. LaFlash and Greta G. LaFlash may be deemed to be the beneficial owner of the shares of our common stock held by Harold O. LaFlash and Greta G. LaFlash (JTWROS). (Harold O. LaFlash and Greta G. LaFlash (JTWROS)).
|
85
|
Includes (i) 169,705 shares of common stock and (ii) 42,426 shares of common stock issuable upon the exercise of the Stock Offering warrants. Chris McHugh may be deemed to be the beneficial owner of the shares of our common stock held by Harvest Financial Services Ltd. as Qualifying Fund Manager of the Chris McHugh ARF (Harvest Financial Services Ltd as Qualifying Fund Manager of the Chris McHugh ARF ).
|
86
|
Includes (i) 30,273 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants (Helmut Koehler).
|
87
|
Includes (i) 19,980 shares of common stock and (ii) 9,990 shares of common stock issuable upon exercise of the Series B warrants. David Hicks may be deemed to be the beneficial owner of the shares of our common stock held by the Hicks Foods Ltd. (Hicks Foods Ltd.).
|
88
|
Includes (i) 18,163 shares of common stock and (ii) 9,081 shares of common stock issuable upon exercise of the Series B warrants. Lawrence Hochman may be deemed to be the beneficial owner of the shares of our common stock held by the Hochman Family LLP . Lawrence D. Hochman has voting/and or investment power over the common stock of Actinium owned by Hochman Family LLP. (Hochman Family LLP).
|
89
|
Includes (i) 19,988 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78 and (ii) 5,318 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Marasa is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Hugh J. Marasa Jr.).
|
90
|
Includes (i) 23,607 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78 and (ii) 20,438 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Regan is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Hugh Regan).
|
91
|
Includes (i) 312,528 shares of common stock, (ii) 37,840 shares of common stock issuable upon exercise of the Series B warrants and (iii) 50,121 shares of common stock issuable upon exercise of the Stock Offering warrants (Ian H. Murray).
|
92
|
Includes (i) 302,818 shares of common stock and (ii) 105,954 shares of common stock issuable upon exercise of the Series B warrants. Stephan Herrmann may be deemed to be the beneficial owner of the shares of our common stock held by Immotrend Inc. (Immotrend Inc.).
|
93
|
Includes (i) 333,000 shares of common stock and (ii) 83,250 shares of common stock issuable upon exercise of the Series B warrants. David Sykes may be deemed to be the beneficial owner of the shares of our common stock held by Island Capital Nominees Ltd. David Sykes has voting and/or investment power over the common stock of Actinium owned by Island Capital Nominees Ltd. (Island Capital Nominees Ltd.).
|
94
|
Includes (i) 121,090 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (J. Brian Boulter).
|
95
|
Includes (i) 97,001 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78 (ii) 873,168 shares of common stock issuable upon exercese of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 31,435 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Ahern is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (James Ahern.).
|
96
|
Includes (i) 12,108 shares of common stock and (ii) 3,027 shares of common stock issuable upon exercise of the Series B warrants (James G. Markey and Carolyn L. Markey (JTWROS)).
|
97
|
Includes (i) 48,436 shares of common stock and (ii) 12,109 shares of common stock issuable upon exercise of the Series B warrants (James L. Payne).
|
98
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (James M. Wimberly).
|
99
|
Includes (i) 83,369 shares of common stock from notes conversion and (ii) 19,138 shares of common stock issuable upon the exercise of the Stock Offering warrants (James Payne).
|
100
|
Includes (i) 531 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Provenzano is affiliated with the Placement Agent of the Stock Offering (James Provenzano).
|
101
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. James T. Dietz & Barbara J. Dietz may be deemed to be the beneficial owner of the shares of our common stock held by James T. Dietz & Barbara J. Dietz (JTWROS).
|
102
|
Includes (i) 1,913 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Thompson is affiliated with the Placement Agent of the Stock Offering (Holly J. Thompson).
|
103
|
Includes (i) 80,103 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants and (iii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (James W. Lees).
|
104
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon the exercise of the Stock Offering warrants. Jan J. Laskowski & Sofia M. Laskowski may be deemed to be the beneficial owner of the shares of our common stock held by Jan J. Laskowski and Sofia M. Laskowski (JTWROS (Jan J. Laskowski and Sofia M. Laskowski (JTWROS)).
|
105
|
Includes (i) 25,802 shares of common stock, (ii) 3,027 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 3,424 shares of common stock issuable upon exercise of the Stock Offering warrants (Jared Sullivan & Shannan Sullivan (JTWROS)).
|
106
|
Includes (i) 10,789 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Russo is affiliated with the Placement Agent of the 2012 Common Stock Offering (Jason Russo).
|
107
|
Includes (i) 121,090 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (Jeff C. Kleinschmidt).
|
108
|
Includes (i) 60,545 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (Jeff L. Stevens).
|
109
|
Includes (i) 196,411 shares of common stock and (ii) 47,569 shares of common stock issuable upon the exercise of the Stock Offering warrants (Sterne Agee & Leach Inc. C/F Jimmy R. Hasley IRA).
|
110
|
Includes (i) 13,871 shares of common stock and (ii) 3,468 shares of common stock issuable upon exercise of the Stock Offering warrants. John Pimpinella and Bernadette Mueller may be deemed to be beneficial owner of the shares of our common stock held by John Pimpinella & Bernadette Mueller (JTWROS). (John Pimpinella & Bernadette Mueller (JTWROS)).
|
111
|
Includes (i) 34,130 shares of common stock and (ii) 8,533 shares of common stock issuable upon exercise of the Stock Offering warrants. John H. Welsh may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F John H. Welsh Roth IRA. (Sterne Agee & Leach Inc. C/F John H. Welsh Roth IRA).
|
112
|
Includes (i) 208,079 shares of common stock and (ii) 52,020 shares of common stock issuable upon exercise of the Stock Offering warrants (John L. Sommer IRA, SAL C/F).
|
113
|
Includes (i) 33,318 shares of common stock, (ii) 3,027 shares of common stock issuable upon exercise of the Series B warrants and (iii) 6,817 shares of common stock issuable upon the exercise of the Stock Offering warrants (John M. Duffy).
|
114
|
Includes (i) 15,022 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Excluded from calculation of beneficial ownerhip as such. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. (John M. Harrington).
|
115
|
Includes (i) 90,848 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants. John Malfer & Toni Malfer may be deemed to be the beneficial owner of the shares of our common stock held by the John Malfer & Toni Malfer (JTWROS). (John Malfer & Toni Malfer (JTWROS)).
|
116
|
Includes (i) 34,509 shares of common stock and (ii) 8,627 shares of common stock issuable upon the exercise of the Stock Offering warrants (John W. Eilers, Jr.).
|
117
|
Includes (i) 10,334 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 78,867 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 2,404 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Eitner is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (John-Paul Eitner.).
|
118 | Includes (i) 34,509 shares of common stock and (ii) 8,627 shares of common stock issuable upon the exercise of the Stock Offering warrants (Jorge Borbolla). |
119
|
Includes (i) 4,306 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Fedorko is affiliated with the Placement Agent of the Stock Offering (Joseph Fedorko.).
|
120
|
Includes (i) 6,054 shares of common stock and (ii) 1,513 shares of common stock issuable upon exercise of the Series B warrants (Joseph P. Acquavella).
|
121
|
Includes (i) 5,550 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Rozof is affiliated with the Placement Agent of the Stock Offering (Joseph Rozof).
|
122
|
Includes (i) 20,807 shares of common stock and (ii) 5,202 shares of common stock issuable upon exercise of the Stock Offering warrants (Joseph T. Oppito).
|
123
|
Includes (i) 18,162 shares of common stock and (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants. (Justin McKenna).
|
124
|
Includes (i) 99,631 shares of common stock, (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 17,340 shares of common stock issuable upon exercise of the Stock Offering warrants (Keith A. Zar).
|
125
|
Includes (i) 68,260 shares of common stock and (ii) 17,065 shares of common stock issuable upon the exercise of the Stock Offering warrants (Ken R. Klimitchek).
|
126
|
Includes (i) 83,369 shares of common stock and (ii) 19,138 shares of common stock issuable upon the exercise of the Stock Offering warrants (Kenneth G. Williamson).
|
127
|
Includes (i) 69,359 shares of common stock and (ii) 17.340 shares of common stock issuable upon the exercise of the Stock Offering warrants (Kenneth N. Larsen Trust U/A/D 9/25/09, Kenneth N. Larsen Trustee).
|
128
|
Includes (i) 14,531 shares of common stock and (ii) 7,265 shares of common stock issuable upon exercise of the Series B warrants (Kevin J. Poor).
|
129
|
Includes (i) 9,081 shares of common stock and (ii) 3,027 shares of common stock issuable upon exercise of the Series B warrants (Kevin Lynch).
|
130
|
Includes (i) 22,913 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. O'Connor is affiliated with the Placement Agent of the Stock Offering (Kevin O'Connor.).
|
131
|
Includes (i) 153,051 shares of common stock and (ii) 36,478 shares of common stock issuable upon exercise of the Stock Offering warrants (Kevin P. McCarthy).
|
132
|
Includes (i) 12,477 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 45,067 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 5,391 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Wilson is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering. (Kevin R. Wilson).
|
133
|
Includes (i) 18,162 shares of common stock and (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants. Kimberly J. Macurdy may be deemed to be the beneficial owner of the shares of our common stock held by Macurdy IRA - Sterne Agee & Leach Inc. C/F Kimberly J. (Kimberly J. Macurdy IRA - Sterne Agee & Leach Inc. C/F ).
|
134
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. Walter J. Lachewitz Jr. may be deemed to be the beneficial owner of the shares of our common stock held by Sterne Agee & Leach Inc. C/F Walter J. Lachewitz Jr. IRA. (Sterne Agee & Leach Inc. C/F Walter J. Lachewitz Jr. IRA).
|
135
|
Includes (i) 62,958 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 23,654 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. The stakeholders of Laidlaw Holdings Limited may be deemed to be the beneficial owners of the shares of our common stock held by Laidlaw Holdings Limited. Laidlaw Holdings Limited is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering. The chairman of Laidlaw Holdings Limited has voting and/or investment power over the common stock of Actinium owned by Laidlaw Holdings Limited. (Laidlaw Holdings Limited).
|
136
|
Includes (i) 13,570 shares of common stock and (ii) 3,393 shares of common stock issuable upon exercise of the Stock Offering warrants (Lance Ziaks & Janet Ziaks JTWROS).
|
137
|
Includes (i) 68,260 shares of common stock and (ii) 17,065 shares of common stock issuable upon the exercise of the Stock Offering warrants. Ralph W. Kettell may be deemed to be the beneficial owner of the shares of our common stock held by Lark Enterprises, Ltd. (Lark Enterprises, Ltd.).
|
138
|
Includes (i) 50,322 shares of common stock (ii) 4,238 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 9,569 shares of common stock issuable upon the exercise of the Stock Offering warrants (Larry G. Majerus).
|
139
|
Includes (i) 24,218 shares of common stock and (ii) 12,109 shares of common stock issuable upon exercise of the Series B warrants (Laurence B. Jacobs).
|
140
|
Includes (i) 15,022 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. (Lindsay Aranha).
|
141
|
Includes (i) 68,260 shares of common stock and (ii) 17,065 shares of common stock issuable upon exercise of the Stock Offering warrants. Jon H. Lytle and Carrie M. Lytle may be deemed to be the beneficial owner of the shares of our common stock held by Jon H. Lytle and Carrie M. Lytle (JTWROS). (Jon H.Lytle and Carrie M. Lytle (JTWROS)).
|
142
|
Includes (i) 15,064 shares of common stock and (ii) 3,445 shares of common stock issuable upon exercise of the Stock Offering warrants ( Gary J Mabie, Janelle L Mabie (JTWROS)).
|
143
|
Includes (i) 6,054 shares of common stock and (ii) 3,027 shares of common stock issuable upon exercise of the Series B warrants (Maree Casatelli).
|
144
|
Includes (i) 9,081 shares of common stock and (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants. Maree Casatelli may be deemed to be the beneficial owner of the shares of our common stock held by Casatelli SEP IRA - Sterne Agee & Leach Inc. C/F Maree. (Maree Casatelli SEP IRA - Sterne Agee & Leach Inc. C/F Maree).
|
145
|
Includes (i) 60,546 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants. Mark A. Maki & Sara L. Maki may be deemed to be the beneficial owner of the shares of our common stock held by Mark A. Maki & Sara L. Maki (JTWROS). (Mark A. Maki & Sara L. Maki (JTWROS)).
|
146
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Mark C. Jasek).
|
147
|
Includes (i) 179,908 shares of common stock and (ii) 45,409 shares of common stock issuable upon exercise of the Series B warrants. Mr. Suwyn may be deemed to be the beneficial owner of the shares of our common stock held by the Mark Suwyn Roth IRA - Sterne Agee & Leach Inc. C/F. (Mark Suwyn Roth IRA - Sterne Agee & Leach Inc. C/F).
|
148
|
Includes (i) 37,454 shares of common stock and (ii) 9,364 shares of common stock issuable upon exercise of the Stock Offering warrants (Marvin S. Rosen).
|
149
|
Includes (i) 97,001 shares of common stock issuable upon exercise of the warrants at an exercise price of 0.78 (ii) 698,534 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 31,435 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Eitner is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Matthew Eitner).
|
150
|
Includes (i) 69,359 shares of common stock and (ii) 17,340 shares of common stock issuable upon exercise of the Stock Offering warrants (Matthew Reid).
|
151 | Includes (i) 30,272 shares of common stock and (iii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. Gary D. Matura and Margaret I. Curtin Matura may be deemed to be the beneficial owners of the shares of our common stock held by the Matura Family Trust UA 05-26-1998. Gary D. Matura and Margaret I. Curtin Matura disclaim beneficial ownership of such shares, except to the extent of his or her pecuniary interest therein (Matura Family Trust UA 05-26-1998). |
152
|
Includes (i) 2,145 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Ahern is affiliated with the Placement Agent of the 2012 Common Stock Offering (Michael Ahern).
|
153
|
Includes (i) 372,985 shares of common stock, (ii) 37,840 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 60,690 shares of common stock issuable upon the exercise of the Stock Offering warrants. Michael B. Carroll & Sheila J. Carroll may be deemed to be the beneficial owner of the shares of our common stock held by Michael B. Carroll & Sheila J. Carroll (JTWROS). (Michael B. Carroll & Sheila J. Carroll (JTWROS)).
|
154
|
Includes (i) 24,226 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Michael D. Watson).
|
155
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Michael E. Whitley).
|
156
|
Includes (i) 111,730 shares of common stock and (ii) 10,595 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 17,340 shares of common stock issuable upon the exercise of the Stock Offering warrants . Michael Engdall & Susan Engdall may be deemed to be the beneficial owner of the shares of our common stock held by Michael Engdall & Susan Engdall (JTWROS). (Michael Engdall & Susan Engdall (JTWROS)).
|
157
|
Includes (i) 102,161 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 10,404 shares of common stock issuable upon the exercise of the Stock Offering warrants. Michael K. Barber & Julia Barber may be deemed to be the beneficial owner of the shares of our common stock held by Michael K. Barber & Julia Barber (JTWROS). (Michael K. Barber & Julia Barber (JTWROS)).
|
158
|
Includes (i) 27,743 shares of common stock and (ii) 6,936 shares of common stock issuable upon exercise of the Stock Offering warrants (Michael L. Turner).
|
159
|
Includes (i) 13,759 shares of common stock and (ii) 3,440 shares of common stock issuable upon the exercise of the Stock Offering warrants (Michael M. Hart)
|
160
|
Includes (i) 17,802 shares of common stock, (ii) 78,867 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 4,256 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Murray is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Michael Murray).
|
161
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Michael R. Chambers).
|
162
|
Includes (i) 41,176 shares of common stock and (ii) 10,294 shares of common stock issuable upon exercise of the Stock Offering warrants (Michael Stanley).
|
163
|
Includes (i) 34,130 shares of common stock and (ii) 8,533 shares of common stock issuable upon exercise of the Stock Offering warrants. Howard S. Ziment may be deemed to be the beneficial owner of the shares of our common stock held by Minta Group LLC. Howard Ziment has voting and/or investment power over the common stock of Actinium owned by Minta Group LLC. (Minta Group LLC).
|
164
|
Includes (i) 59,846 shares of common stock, (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants and (iii) 9,569 shares of common stock issuable upon exercise of the Stock Offering warrants (Nabil M. Yazgi).
|
165
|
Includes (i) 9,081 shares of common stock and (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants. Nabil Yazgi may be deemed to be the beneficial owner of the shares of our common stock held by the Nabil Yazgi MD PA 401(K) Profit Sharing Plan and Trust. (Nabil Yazgi MD PA 401(K) Profit Sharing Plan and Trust).
|
166
|
Includes (i) 6,054 shares of common stock and (ii) 1,513 shares of common stock issuable upon exercise of the Series B warrants. Nabil Yazgi may be deemed to be the beneficial owner of the shares of our common stock held by the Nabil Yazgi MD PA Cash Balance Plan & Trust 12-28-2008. (Nabil Yazgi MD PA Cash Balance Plan & Trust 12-28-2008).
|
167
|
Includes (i) 909 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Gupta is affiliated with the Placement Agent of the 2012 Common Stock Offering (Nicholas Gupta).
|
168
|
Includes (i) 455 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Maddren is affiliated with the Placement Agent of the 2012 Common Stock Offering (Patrick Maddren).
|
169
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Patrick Thomas).
|
170
|
Includes (i) 121,090 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants. Paul A. Wildberger & Janice Wildberger may be deemed to be the beneficial owner of the shares of our common stock held by Paul A. Wildberger & Janice Wildberger (JTWROS). (Paul A. Wildberger & Janice Wildberger (JTWROS)).
|
171
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Peter H. Colettis).
|
172
|
Includes (i) 1,637 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Silverman is affiliated with the Placement Agent of the 2012 Common Stock Offering (Peter Silverman).
|
173
|
Includes (i) 199,266 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants and (iii) 34,680 shares of common stock issuable upon the exercise of the Stock Offering warrants. (Peter J. and Tiffany B. Zaborowski, (JTWROS)).
|
174
|
Includes (i) 287 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Malone is affiliated with the Placement Agent of the Stock Offering (Peter Malone).
|
175
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Philip Stephenson).
|
176
|
Includes (i) 102,391 shares of common stock and (ii) 25,598 shares of common stock issuable upon the exercise of the Stock Offering warrants (PhillipTodd Herndon).
|
177
|
Includes (i) 24,218 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants (Rafael Penunuri).
|
178
|
Includes (i) 36,326 shares of common stock and (ii) 9,081 shares of common stock issuable upon exercise of the Series B warrants (Raja Appachi).
|
179
|
Includes (i) 41,684 shares of common stock and (ii) 9,569 shares of common stock issuable upon the exercise of the Stock Offering warrants (Randall L & Kathy S Payne, JTWROS)).
|
180
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. Randy Payne may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F Randy Payne IRA. (Sterne Agee & Leach Inc. C/F Randy Payne IRA).
|
181
|
Includes (i) 46,932 shares of common stock, (ii) 6,652 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 5,081 shares of common stock issuable upon exercise of the Stock Offering warrants (Ray Sinnott).
|
182
|
Includes (i) 17,642 shares of common stock and (ii) 4,411 shares of common stock issuable upon exercise of the Stock Offering warrants. Ray Sinnott may be deemed to be the beneficial owner of the shares of our common stock held by the Ray Sinnott Pension Fund. (Ray Sinnott Pension Fund).
|
183
|
Includes (i) 30,273 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants. Clayton A Reed & Stephanie S. Reed may be deemed to be the beneficial owner of the shares of our common stock held by the Reed Family Trust DTD 06-24-1999 Clayton A Reed & Stephanie S. Reed TTEES (Reed Family Trust DTD 06-24-1999 Clayton A Reed & Stephanie S. Reed TTEES).
|
184
|
Includes (i) 274,509 shares of common stock and (ii) 68,627 shares of common stock issuable upon the exercise of the Stock Offering warrants (Rex A. Jones).
|
185
|
Includes (i) 748,124 shares of common stock, (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 171,895 shares of common stock issuable upon exercise of the Stock Offering warrants (Richard A. Levine).
|
186
|
Includes (i) 22,913 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Brewster is affiliated with the Placement Agent of the Stock Offering (Richard Brewster).
|
187
|
Includes (i) 18,162 shares of common stock and (ii) 4,540 shares of common stock issuable upon exercise of the Series B warrants (Richard Burgess).
|
188
|
Includes (i) 3,136 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Buttine is affiliated with the Placement Agent of the 2012 Common Stock Offering (Richard Buttine).
|
189
|
Includes (i) 21,156 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 225,334 shares of common stock issuable upon exercise of the warrants pursuant to the transaction management agreement with Jamess Capital Group, LLC. Warrant may not be exercised by the Holder upon less than 90 days prior written notice of such exercise and provided further that the Holder may elect, in its sole discretion, to waive the Prior Notice Requirement, in whole or in part, upon 65 days prior written notice of such waiver. Excluded from calculation of beneficial ownerhip as such. and (iii) 4,256 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Michalski is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Richard G. Michalski).
|
190
|
Includes (i) 13,871 shares of common stock and (ii) 3,468 shares of common stock issuable upon the exercise of the Stock Offering warrants (Richard L. Herweck).
|
191
|
Includes (i) 7,318 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Jobanputra is affiliated with the Placement Agent of the 2012 Common Stock Offering (Rikin Jobanputra).
|
192
|
Includes (i) 41,336 shares of common stock and (ii) 9,569 shares of common stock issuable upon exercise of the Stock Offering warrants. David and Mimi Rippee have voting and/or investment power over the common stock of Actinium owned by Rippee Mineral Managemenet LLC (Rippee Mineral Management LLC).
|
193
|
Includes (i) 19,988 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. and (ii) 15,470 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Bonaventura is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Robert Bonaventura.).
|
194
|
Includes (i) 138,720 shares of common stock and (ii) 34,680 shares of common stock issuable upon the exercise of the Stock Offering warrants (Robert Dunn).
|
195
|
Includes (i) 277,440 shares of common stock and (ii) 69,360 shares of common stock issuable upon the exercise of the Stock Offering warrants (Robert A. Krauch).
|
196
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Robert Hair).
|
197
|
Includes (i) 41,846 shares of common stock and (ii) 9,569 shares of common stock issuable upon the exercise of the Stock Offering warrants (Robert J Laubenthal).
|
198
|
Includes (i) 1,665 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. LeBoyer is affiliated with the Placement Agent of the Stock Offering (Robert LeBoyer).
|
199
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Robert N. Blank).
|
200
|
Inclues (i) 2,255 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Rotunno is affiliated with the Placement Agent of the 2012 Common Stock Offering. (Robert Rotunno).
|
201
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Robert T. Stapell).
|
202
|
Includes (i) 194,104 shares of common stock, (ii) 22,704 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 25,822 shares of common stock issuable upon the exercise of the Stock Offering warrants. (Roger Conan).
|
203
|
Includes (i) 68,470 shares of common stock and (ii) 17,188 shares of common stock issuable upon the exercise of the Stock Offering warrants (Sterne Agee & Leach Inc. C/F Roger K. Cady R/O IRA).
|
204
|
Includes (i) 276,314 shares of common stock and (ii) 69,079 shares of common stock issuable upon the exercise of the Stock Offering warrants (Ron D. Craig).
|
205
|
Includes (i) 7,090 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Zuckerman is affiliated with the Placement Agent of the 2012 Common Stock Offering. (Ron Zuckerman).
|
206
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Ronald J. Woodward).
|
207
|
Includes (i) 48,551 shares of common stock and (ii) 12,138 shares of common stock issuable upon exercise of the Stock Offering warrants (Ronald A. Soicher).
|
208
|
Includes (i) 16,235 shares of common stock and (ii) 10,374 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Turcotte is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Ryan Turcotte).
|
209
|
Includes (i) 64,746 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 57,212 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Seth is affiliated with the Placement Agent of the Stock Offering, the 2012 Common Stock Offering and is also a Director of the Company (Sandesh Seth.).
|
210
|
Includes (i) 51,522 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 6,826 shares of common stock issuable upon exercise of the Stock Offering warrants (Sandra F. Tomlinson).
|
211
|
Includes (i) 50,021 shares of common stock and (ii) 11,483 shares of common stock issuable upon exercise of the Stock Offering warrants (Sterne Agee & Leach Inc. C/F Pat Schneider IRA).
|
212
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (Scott L. Byer).
|
213
|
Includes (i) 60,545 shares of common stock. Brian M. Miller may be deemed to be the beneficial owner of the shares of our common stock held by Seal Rock 1, LLC. Brian M. Miller has voting and/or investment power over the common stock of Actinium owned by Seal Rock 1, LLC. (Seal Rock 1, LLC).
|
214
|
Includes (i) 60,545 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants. Alexander Sepulveda may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F Mercedes Sepulveda Roth IRA. (Sterne Agee & Leach Inc. C/F Mercedes Sepulveda Roth IRA),
|
215
|
Includes (i) 16,874 shares of common stock (Sharon M. Smith).
|
216
|
Includes (i) 41,082 shares of common stock and (ii) 10,271 shares of common stock issuable upon the exercise of the Stock Offering warrants (Simon C. Guscott).
|
217
|
Includes (i) 832 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Shah is affiliated with the Placement Agent of the Stock Offering (Sohin Shah).
|
218
|
Includes (i) 6,785 shares of common stock, (ii)1,696 shares of common stock issuable upon exercise of the Stock Offering warrants (Srinivasa Rajan).
|
219
|
Includes (i) 41,411 shares of common stock, and (ii) 10,353 shares of common stock issuable upon exercise of the Stock Offering warrants . Stephen Park and Tracy Park may be deemed to be beneficial owner of the shares of our common stock held by Park, Stephen and Tracy (JTWROS). (Stephen and Tracy Park, (JTWROS)).
|
220
|
Includes (i) 20,807 shares of common stock and (ii) 5,202 shares of common stock issuable upon the exercise of the Stock Offering warrants (Stephen Fischgrund).
|
221
|
Includes (i) 77,535 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78 and (ii) 13,263 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Hamilton is affiliated with the Placement Agent of the Stock Offering Offering and the 2012 Common Stock Offering. (Stephen Hamilton).
|
222
|
Includes (i) 35,691 shares of common stock and (ii) 8,923 shares of common stock issuable upon exercise of the Stock Offering warrants. JB Trahern and/or Ann Trahern may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F JB Trahern Bene Owner Ann Trahern DCSD IRA. (Sterne Agee & Leach Inc. C/F JB Trahern Bene Owner Ann Trahern DCSD IRA).
|
223
|
Includes (i) 60,546 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants. Steven De Decker & Diop Diatou may be deemed to be the beneficial owner of the shares of our common stock held by Steven De Decker & Diop Diatou (JTWROS). (Steven De Decker & Diop Diatou (JTWROS)).
|
224
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Steven K. Nelson).
|
225
|
Includes (i) 13,694 shares of common stock and (ii) 3,424 shares of common stock issuable upon exercise of the Stock Offering warrants (Steven W. Poe and Judith L. Poe (JTWROS)).
|
226
|
Includes (i) 6,785 shares of common stock and (ii) 1,696 shares of common stock issuable upon exercise of the Stock Offering warrants. Gregory F. Sullivan may be deemed to be the beneficial owner of the shares of our common stock held by the Sterne Agee & Leach Inc. C/F Gregory F. Sullivan II IRA (Sterne Agee & Leach Inc. C/F Gregory F. Sullivan II Roth IRA).
|
227
|
Includes (i) 12,109 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants (Susan H. Lu).
|
228
|
Includes (i) 134,390 shares of common stock, (ii) 16,642 shares of common stock issuable upon exercise of the Series B warrants, and (iii)16,955 shares of common stock issuable upon exercise of the Stock Offering warrants. Ray Sinott may be deemed to be the beneficial owner of the shares of our common stock held by Syntec Scientific LTD. (Syntec Scientific LTD).
|
229
|
Includes (i) 13,725 shares of common stock and (ii) 3,431 shares of common stock issuable upon exercise of the Stock Offering warrants. Thomas Murray and Lillian Murray may be deemed to be the beneficial owner of the shares of our common stock held by Murray, Thomas and Lillian (JTWROS). (Thomas and Lillian Murray, (JTWROS)).
|
230
|
Includes (i) 41,684 shares of common stock and (ii) 9,569 shares of common stock issuable upon exercise of the Stock Offering warrants. (Thomas C. Pugh).
|
231
|
Includes (i) 144,238 shares of common stock, (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants and (iii) 19,138 shares of common stock issuable upon exercise of the Stock Offering warrants (Thomas G. Hoffman).
|
232
|
Includes (i) 71,956 shares of common stock, (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants and (iii) 9,569 shares of common stock issuable upon exercise of the Stock Offering warrants. Thomas J. Moore & Cathleen Moore may be deemed to be the beneficial owner of the shares of our common stock held by the Thomas J. Moore & Cathleen Moore (JTWROS). (Thomas J. Moore & Cathleen Moore (JTWROS)).
|
233
|
Includes (i) 60,546 shares of common stock and (ii) 15,136 shares of common stock issuable upon exercise of the Series B warrants (Timothy A. Kippenhan).
|
234
|
Includes (i) 3,444 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. (ii) 2,727 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Mr. Behr is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Timothy C. Behr).
|
235
|
Includes (i) 76,295 shares of common stock and (ii) 19,074 shares of common stock issuable upon exercise of the Stock Offering warrants (Timothy E. Lemaster).
|
236
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants. Timothy J. Pellegrini and Catherine A. Pellegrini may be deemed to be beneficial owner of the shares of our common stock held by Pellegrini, Timothy J. and Catherine A. (JTWROS) (Pellegrini, Timothy J. and Catherine A. (JTWROS)).
|
237
|
Includes (i) 41,082 shares of common stock and (ii) 10,271 shares of common stock issuable upon the exercise of the Stock Offering warrants. Timothy J. Kane and Annette K. Kane may be deemed to be the beneficial owner of the shares of our common stock held by Timothy J. Kane and Annette K. Kane (JTWROS). (Timothy J. Kane and Annette K. Kane (JTWROS)).
|
238
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Timothy J. Rinker).
|
239
|
Includes (i) 65,891 shares of common stock and (ii) 16,473 shares of common stock issuable upon the exercise of the Stock Offering warrants (Timothy P. Johnston).
|
240
|
Includes (i) 101,279 shares of common stock, (ii) 16,650 shares of common stock issuable upon exercise of the Series B warrants, and (iii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants (Timothy Wieghaus).
|
241
|
Includes (i) 74,524 shares of common stock, (ii) 1,513 shares of common stock issuable upon exercise of the Series B warrants and (iii) 17,118 shares of common stock issuable upon exercise of the Stock Offering warrants (Tracy N. Poe).
|
242
|
Includes (i) 40,712 shares of common stock and (ii) 10,178 shares of common stock issuable upon the exercise of the Stock Offering warrants (Sterne Agee & Leach Inc. C/F Tracy N. Poe Roth IRA)
|
243
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (Uday Dandamudi).
|
244
|
Includes (i) 412,784 shares of common stock and (ii) 103,196 shares of common stock issuable upon exercise of the Stock Offering warrants. Xiongwei Ju may be deemed to be the beneficial owner of the shares of our common stock held by Variety Investments Limited. Xiongwei Ju has voting and/or investment power over the common stock of Actinium owned by Variety Investments Ltd. (Variety Investments Limited).
|
245
|
Includes (i) 60,545 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants. Brian M. Miller may be deemed to be the beneficial owner of the shares of our common stock held by Velcro LLC. Brian M. Miller has sole voting and/or investment power over the common stock owned by Velcro LLC (Velcro LLC).
|
246
|
Includes (i) 832 shares of common stock issuable upon exercise of the placement agent warrants at an exercise price of 0.78. Mr. Moras is affiliated with the Placement Agent of the Stock Offering (Vinod Moras.).
|
247
|
Includes (i) 26,678 shares of common stock and (ii) 6,124 shares of common stock issuable upon the exercise of the Stock Offering warrants (Willard L Simons).
|
248
|
Includes (i) 24,226 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants Willard L. Simons may be deemed to be the beneficial owner of the shares of our common stock held by the Simons IRA - Sterne Agee & Leach Inc. C/F Willard L. (Willard L. Simons IRA - Sterne Agee & Leach Inc. C/F).
|
249
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon exercise of the Stock Offering warrants. William A. Valka and Barbara B. Valka may be deemed to be the beneficial owner of the shares of our common stock held by Valka, William A. and Barbara B. (JTWROS). (William A. and Barbara B. Valka, (JTWROS)).
|
250
|
Includes (i) 121,090 shares of common stock and (ii) 30,272 shares of common stock issuable upon exercise of the Series B warrants (William H. Hieronymus).
|
251
|
Includes (i) 12,109 shares of common stock and (ii) 6,054 shares of common stock issuable upon exercise of the Series B warrants. William J. Diamond & Andrea Sullivan may be deemed to be the beneficial owner of the shares of our common stock held by William J. Diamond & Andrea Sullivan (JTWROS). (William J. Diamond & Andrea Sullivan (JTWROS)).
|
252
|
Includes (i) 30,272 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants. William L. Lane & Leann Lane may be deemed to be the beneficial owner of the shares of our common stock held by the William L. Lane & Leanne Lane (JTWROS). (William L. Lane & Leanne Lane (JTWROS)).
|
253
|
Includes (i) 34,679 shares of common stock and (ii) 8,670 shares of common stock issuable upon the exercise of the Stock Offering warrants (William Wade Brawley).
|
254
|
Includes (i) 15,136 shares of common stock and (ii) 7,568 shares of common stock issuable upon exercise of the Series B warrants (William Woodford).
|
255
|
Includes (i) 138,720 shares of common stock and (ii) 34,680 shares of common stock issuable upon exercise of the Stock Offering warrants. Patricia White and/or William Wilson III may be deemed to be the beneficial owner of the shares of our common stock held by Wilson, William, III and Wilson, Patricia White COTTEE of The Wilson Family Restated Living Trust UTA dtd 04/2004. (Wilson, William, III and Wilson, Patricia White COTTEE of The Wilson Family Restated Living Trust UTA dtd 04/2004).
|
256
|
Includes (i) 19,980 shares of common stock and (ii) 4,995 shares of common stock issuable upon exercise of the Series B warrants (Wojciech Rybacki).
|
257
|
Includes (i) 11,305 shares of common stock and (ii) 7,054 shares of common stock issuable upon exercise of the 2012 Common Stock placement agent warrants at an exercise price of 2.48. Ms. Zhou is affiliated with the Placement Agent of the Stock Offering and the 2012 Common Stock Offering (Xiaowei Zhou.).
|
258
|
Includes (i) 36,326 shares of common stock and (ii) 9,081 shares of common stock issuable upon exercise of the Series B warrants (Yogesh Desai).
|
●
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has had a material relationship with us other than as a stockholder at any time within the past three years;
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●
|
has ever been one of our officers or directors or an officer or director of our affiliates; or
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●
|
are broker-dealers or affiliated with broker-dealers.
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