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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT 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 2270 (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 at End of Issuer's Fiscal Year (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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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Option to Purchase Common Shares | $ 0.32 | Â | Â | Â | Â | Â | 11/24/2006 | 11/23/2011 | Common Shares | Â | 80,000 | Â | ||
Option to Purchase Common Shares | $ 3 | Â | Â | Â | Â | Â | Â (2) | 03/30/2007 | Common Shares | Â | 20,000 | Â | ||
Option to Purchase Common Shares | $ 1.55 | Â | Â | Â | Â | Â | Â (3) | 03/30/2008 | Common Shares | Â | 20,000 | Â | ||
Warrants to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | 01/21/2004 | 10/31/2010 | Common Shares | Â | 937 | Â | ||
Option to Purchase Common Shares | $ 2.17 | Â | Â | Â | Â | Â | Â (4) | 03/07/2009 | Common Shares | Â | 10,000 | Â | ||
Option to Purchase Common Shares | $ 2 | Â | Â | Â | Â | Â | Â (5) | 05/31/2009 | Common Shares | Â | 100,000 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
NICKEL JEFFREY B 6121 HOLLIS STREET EMERYVILLE, CA 94608 |
 |  |  Vice President |  |
/s/Jeffrey B. Nickel | 02/13/2007 | |
**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) | Includes 230,000 shares that Dr. Nickel may acquire through the exercise of stock options and 937 shares that he may acquire upon the exercise of certain warrants. |
(2) | 12,500 options became exercisable on March 31, 2002 and the remaining 7,500 became exercisable in 9 equal monthly installments based upon continued service on the board of directors. |
(3) | 5,000 options became exercisable on March 31, 2003 and the remaining 15,000 became exercisable in 9 equal monthly installments based upon continued service on the board of directors. |
(4) | 5,000 options became exercisable on March 31, 2004 and the remaining 5,000 became exercisable on May 31, 2004. |
(5) | 25,000 options became exercisable on June 1, 2004 and the remaining 75,000 will become exercisable in three equal yearly installments. |