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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A 0% Convertible Preferred Stock | 08/16/2012 | Â (1) | COMMON STOCK | 986,854 | $ 0 | I | SEE EXPLANATION OF RESPONSE BELOW |
Warrants | 02/17/2013 | 02/17/2018 | COMMON STOCK | 490,000 | $ 3.99 | I | SEE EXPLANATION OF RESPONSE BELOW (2) (3) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Moseley & Co VI, LLC 4200 NORTHSIDE PARKWAY, N.W. BUILDING 9 ATLANTA, GA 30327 |
 |  X |  |  |
NORO-MOSELEY PARTNERS VI, L.P. 4200 NORTHSIDE PARKWAY, N.W. BUILDING 9 ATLANTA, GA 30327 |
 |  X |  |  |
Allen Moseley, AS CLASS A MEMBER OF EACH REPORTING ENTITY | 08/20/2012 | |
**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) | The Series A 0% Convertible Preferred stock was acquired for $3.00 per share, is convertible at any time and has no expiration date. |
(2) | This report is filed jointly by Noro-Moseley Partners VI, L.P. and its general partner, Moseley and Company VI, LLC. |
(3) | The foregoing securities are owned directly by Noro-Moseley Partners VI, L.P. Moseley and Company VI, LLC may be deemed to beneficially own all of the foregoing securities. |