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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 | ||||||||
Class A Common Stock Purchase Warrant | $ 0.5 | 06/15/2007 | J(2) | 3,033,945 | 06/15/2007 | 06/15/2017 | Class A Common Stock | 3,033,945 | (2) | 3,033,945 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mounte LLC 1250 FOURTH STREET SUITE 550 SANTA MONICA, CA 90401 |
X |
/s/ Stanley E. Maron | 06/19/2007 | |
**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) | On June 15, 2007, Nextera exchanged $1,516,972.60 in outstanding principal and accrued interest owed to Mounte pursuant to a promissory note for 15,169 shares of Nextera's Series B Cumulative Non-Convertible Preferred Stock, together with a cash payment in lieu of fractional shares. |
(2) | On June 15, 2007, Nextera issued a Class A Common Stock Purchase Warrant to Mounte pursuant to the terms of a Funding Agreement entered into as of April 16, 2007 by and among Nextera, Mounte, Jocott Enterprises, Inc., and Woodridge Labs, Inc. The warrant is exercisable at any time at the option of the holder, has a ten-year term, and has customary piggyback registration rights and anti-dilution rights with respect to specified events. |