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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Series A Preferred Stock | $ 0.2 | 07/20/2009 | S(1) | 150 | 06/30/2009 | (2) | Common Stock | 750,000 | $ 1,000 | 3,075 | D | ||||
Series A Preferred Warrants | $ 1,250 | 07/20/2009 | S | 75 | 06/30/2009 | 06/30/2014 | Series A Preferred Stock | 75 (3) | $ 0 (4) | 1,037 | D | ||||
Series A Preferred Stock | $ 0.2 | 07/20/2009 | P | 150 | 06/30/2009 | (2) | Common Stock | 750,000 | $ 1,000 | 575 | I | Owned by trust (1) | |||
Series A Preferred Warrants | $ 1,250 | 07/20/2009 | P | 75 | 06/30/2009 | 06/30/2014 | Series A Preferred Stock | 75 (3) | $ 0 (4) | 287 | I | Owned by trust (5) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
walker jack jonas 2105 11TH STREET BOULDER, CO 80302 |
X | X |
Lissie Stagg, Attorney in Fact | 07/22/2009 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Mr. Walker sold the 150 shares of Series A Preferred Stock to the M & J Charitable Remainder Trust, of which Mr. Walker is a controlling person. |
(2) | The Series A Preferred Stock does not have an expiration date. |
(3) | The 75 shares of Series A Preferred Stock are convertible into 375,000 shares of Common Stock. |
(4) | The Series A Preferred Warrants were included in the sale price of the Series A Preferred Stock. |
(5) | The 75 Series A Preferred Warrants were included in the sale of the Series A Preferred Stock by Mr. Walker to the M & J Charitable Remainder Trust. Mr. Walker is a controlling person of the trust. |