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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 | |
Augusta Gary 700 NORTH BRAND BLVD. SUITE 1400 GLENDALE, CA 91203 |
X | Executive Chairman |
/s/ Gary Augusta | 05/18/2016 | |
**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) | A Form 4 filed on February 18, 2014 incorrectly stated that the reporting person acquired indirect beneficial ownership of 100,000 shares that were issued to SpaGus Apollo LLC. The reporting person did not have a relationship that would have resulted in him having indirect beneficial ownership of Issuer securities held by SpaGus Apollo LLC. |
(2) | All share amounts have not been adjusted to give effect to a 1-for-10 reverse stock split effected on April 24, 2015. |
(3) | 1,400,000 of these shares were previously reported as indirectly owned. |
(4) | 216,000 shares are directly owned by SpaGus Capital Partners LLC, of which the reporting person is President and a 50% member. 50,000 shares are directly owned by SpaGus Ventures LLC, of which SpaGus Capital Partners LLC is Manager. The reporting person disclaims beneficial ownership of Issuer common stock held by such entities except to the extent of his pecuniary interest therein. |