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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Fife John M. 303 EAST WACKER DRIVE SUITE 1200 CHICAGO, IL 60601 |
X | X | See Remarks | |
St George Investments LLC 303 EAST WACKER DRIVE SUITE 1200 CHICAGO, IL 60601 |
X | |||
Fife Trading, Inc. 303 EAST WACKER DRIVE SUITE 1200 CHICAGO, IL 60601 |
X |
/s/ John M. Fife | 07/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ John M. Fife, authorized signatory for Fife Trading, Inc., the manager of ST. GEORGE INVESTMENTS, LLC | 07/15/2013 | |
**Signature of Reporting Person | Date | |
/s/ John M. Fife, authorized signatory for FIFE TRADING INC. | 07/15/2013 | |
**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) | As disclosed in Reporting Person John M. Fife's Schedule 13D, Amendment No. 16 filed on July 8, 2013, the Issuer issued 5,600,000 shares of its common stock ("Common Stock") to St. George Investments, LLC, an Illinois limited liability company ("St. George"), as a result of St. George's exercise of a remedy, upon the occurrence of an event of default, to receive shares of Common Stock in lieu of cash, at a price of $.004323 per share, of $24,208.80 of the outstanding balance of that certain Secured Promissory Note dated August 14, 2012, attached as Exhibit 4.2 to the Amendment to the Current Report on Form 8-K/A filed by the Issuer on August 27, 2012. Reporting Person John M. Fife owns a controlling interest in, and has investment control over the portfolio of, St. George. St. George also directly owns: (a) 278,936 shares of Common Stock, as disclosed in Reporting Person John M. Fife's Amendment No. 9 to the Schedule 13D filed on November 16, 2010 and the Statement of Changes in Ben |
Remarks: Chairman of the Board, President, and Chief Executive Officer |