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 | ||||
Options | Â (5) | 01/02/2015 | Common Stock | 30,714 | $ 19.25 | I | By Mooers Partners, LLC (2) |
Options | Â (6) | 01/19/2016 | Common Stock | 78,571 | $ 70 | I | By Mooers Partners, LLC (2) |
Options | 01/16/2013 | 01/16/2018 | Common Stock | 571,428 | $ 13.3 | I | By MB Technology Holdings, LLC (1) |
Options | 01/16/2013 | 01/16/2018 | Common Stock | 142,857 | $ 8.75 | I | By MB Technology Holdings, LLC (1) |
Warrants | 01/16/2013 | 01/16/2018 | Common Stock | 42,857 | $ 0.35 | I | By MB Technology Holdings, LLC (1) |
Warrants | 01/16/2013 | 01/16/2018 | Common Stock | 1,143 | $ 0.35 | I | By Mooers Partners, LLC (2) |
Warrants | 03/13/2013 | 03/13/2013 | Common Stock | 1,143 | $ 0.35 | I | By Mooers Partners, LLC (2) |
Warrants | 04/10/2013 | 04/10/2013 | Common Stock | 229 | $ 0.35 | I | By Mooers Partners, LLC (2) |
Warrants | 04/26/2013 | 04/26/2013 | Common Stock | 686 | $ 0.35 | I | By Mooers Partners, LLC (2) |
Warrants | 06/13/2013 | 06/13/2013 | Common Stock | 571 | $ 0.35 | I | By Mooers Partners, LLC (2) |
Warrants | 07/02/2013 | 07/02/2018 | Common Stock | 429 | $ 0.35 | I | By trusts (3) |
Warrants | 07/03/2013 | 07/03/2018 | Common Stock | 286 | $ 0.35 | I | By trusts (3) |
Warrants | 07/18/2013 | 07/18/2018 | Common Stock | 27,513 | $ 6.87 | I | By trusts (3) |
Warrants | 07/18/2013 | 07/18/2018 | Common Stock | 145,295 | $ 6.87 | I | By Mooers Partners, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mooers Richard L 240 S PINEAPPLE AVE, STE 701 SARASOTA, FL 34236 |
 X |  X |  |  |
/s/ Richard L. Mooers | 11/19/2013 | |
**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) | Family entities and trusts for the benefit of Mr. Mooers' children beneficially own shares, options and warrants of the Company through MB Merchant Group, LLC, of which these family trusts and entities beneficially own 80%, which in turn is a 45.2% owner of MB Technology Holdings, LLC. |
(2) | Trusts for the benefit of Mr. Mooers' children beneficially own shares and warrants of the Company through Mooers Partners, LLC, of which these family trusts and entities beneficially own 100%. |
(3) | These shares are held in a trust for the benefit of the reporting person's children. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose |
(4) | Family entities and trusts for the benefit of Mr. Mooers' children beneficially own shares of the Company through Mooers Branton & Company, of which these family trusts and entities beneficially own 80%. |
(5) | 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. |
(6) | 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 is being filed to correct the number of securities beneficially owned by the reporting person at the time of filing. The original Form 3 listed the wrong amount of securities indirectly held through MB Technology Holdings, LLC and did not report certain securities indirectly held through Mooers Partners, LLC and through the children and the trusts of the children of the reporting person. |