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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 | ||||||||
Warrants | $ 4.72 (2) | 06/10/2016 | J | 682,897 | 03/20/2013 | 09/19/2017 | Common Stock | 682,897 | $ 0 | 682,897 | D | ||||
Warrants | $ 4.72 (2) | 06/10/2016 | J | 119,352 | 09/10/2014 | 09/19/2017 | Common Stock | 119,352 | $ 0 | 119,352 | D | ||||
Warrants | $ 0.87 | 05/06/2016 | J | 2,900,000 | 03/11/2015 | 09/10/2019 | Common Stock | 2,900,000 | $ 0 | 2,900,000 | D | ||||
Warrants | $ 4.72 (2) | 06/10/2016 | J | 225,441 | 01/19/2016 | 09/19/2017 | Common Stock | 225,441 | $ 0 | 225,441 | D | ||||
Convertible Note | $ 0.29 | 06/10/2016 | C | 4,011,740 (1) | 01/19/2016 | 10/27/2016 | Common Stock | 4,011,740 (1) | $ 0 | 0 | D | ||||
Warrants | $ 4.72 (2) | 06/10/2016 | J | 102,182 | 02/11/2016 | 09/19/2017 | Common Stock | 102,182 | $ 0 | 102,182 | D | ||||
Warrants | $ 4.72 (2) | 06/10/2016 | J | 86,531 | 05/06/2016 | 09/19/2017 | Common Stock | 86,531 | $ 0 | 86,531 | D | ||||
Warrants | $ 4.72 | 06/10/2016 | J | 1,589 (3) | 06/10/2016 | 09/19/2017 | Common Stock | 1,589 (3) | $ 0 | 1,589 (3) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sentient Global Resources Fund IV, L.P. LANDMARK SQUARE, 1ST FL., 64 EARTH CLOSE WEST BAY BEACH SOUTH, PO BOX 10795 GEORGE TOWN, GRAND CAYMAN, E9 KY1-1107 |
X |
/s/ Andrew Pullar | 06/14/2016 | |
**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) | Shares issued upon final conversion ($1,125,583.61 principal plus $34,064.20 of interest) of Convertible Note. |
(2) | Reflects revised Warrant exercise price resulting from anti-dilution adjustments triggered by final conversion of Convertible Note (see footnote 1). |
(3) | Reflects additional shares issuable upon exercise of Warrants originally issued in 2012 to give effect to anti-dilution adjustments triggered by final conversion of Convertible Note. |