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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Options | Â (2) | 01/02/2015 | Common Stock | 7,142 | $ 19.25 | D | Â |
Warrants | 04/14/2011 | 04/14/2015 | Common Stock | 14,285 | $ 7.875 | D | Â |
Options | Â (3) | 01/19/2016 | Common Stock | 28,571 | $ 70 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Wennberg Mats 240 S PINEAPPLE AVE, STE 701 SARASOTA, FL 34236 |
 |  |  | Resigned from the Board |
/s/ Mats Wennberg | 07/31/2013 | |
**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) | Mr. Wennberg has a beneficial interest in 91,344 shares in the Company through his wholly owned company, Wennberg Industries AB. |
(2) | The issue date of the Options pursuant to a 2005 Options Plan is January 2, 2005. The Options have three (3) vesting periods, with the first being January 2, 2006 and the last being January 2, 2008. |
(3) | The issue date of the Options pursuant to a 2006 Options Plan is January 19, 2006. The Options have three (3) vesting periods, with the first being January 19, 2007 and the last being January 19, 2009. |
 Remarks: This Amendment to the Form 3 is being filed to revise the "Conversion or Exercise Price of Derivative Security" in Box 4 for the Warrants listed under Table II from $8.05 to the correct price of $7.875. |