UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrants to Purchase Common Stock | 05/13/2010 | 05/13/2014 | Common Stock | 636,266 | $ 0.393 | I (1) | By Europa International, Inc. |
Warrants to Purchase Common Stock | 04/25/2011 | 04/25/2014 | Common Stock | 60,000 | $ 0.6 | I (1) | By Europa International, Inc. |
2.5% Senior Secured Convertible Note | 05/10/2010 | 05/12/2014 | Common Stock | 1,474,138 | $ 0.29 | I (1) | By Europa International, Inc. |
2.5% Senior Secured Convertible Note | 09/04/2012 | 09/03/2016 | Common Stock | 862,069 | $ 0.29 | I (1) | By Europa International, Inc. |
2.5% Senior Secured Convertible Note | 10/01/2012 | 09/30/2016 | Common Stock | 574,713 | $ 0.29 | I (1) | By Europa International, Inc. |
2.5% Senior Secured Convertible Note | 10/31/2012 | 10/30/2016 | Common Stock | 574,713 | $ 0.29 | I (1) | By Europa International, Inc. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
KNOLL FRED 1114 AVENUE OF THE AMERICAS, 45TH FLOOR NEW YORK, NY 10036 |
 X |  X |  |  |
/s/ Fred Knoll | 11/08/2012 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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. Knoll, the principal of Knoll Capital Management, L.P., the investment manager for Europa International, Inc., exercises voting and dispositive power over the shares held by Europa International, Inc., but disclaims any beneficial interest in the shares of our common stock owned by Europa except to the extent of his pecuniary interest therein. |