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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 | ||||||||
Series Q Warrants | $ 5.5 | 03/31/2010 | S | 133,333 | 02/23/2010 | 02/23/2015 | Common Stock | 133,333 | (1) | 0 | D | ||||
Series N Warrants | $ 6.25 | 03/31/2010 | S | 100,000 | 02/23/2010 | 02/23/2015 | Common Stock | 100,000 | (1) | 0 | D | ||||
Series H Warrants | $ 8 | 03/31/2010 | S | 52,084 | 04/18/2006 | 04/30/2011 | Common Stock | 52,084 | (1) | 0 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Comvita New Zealand LTD WILSON ROAD SOUTH PRIVATE BAG 1 TE PUKE, Q2 3189 |
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Comvita New Zealand Limited, By: /s/ Brett Hewlett, Chief Executive Officer | 04/05/2010 | |
**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) | The securities reported herein were originally issued to the Reporting Person, Comvita New Zealand Limited. Comvita New Zealand Limited is a wholly-owned subsidiary of Comvita Limited, the parent corporation. The securities reported herein were subsequently distributed by Comvita New Zealand Limited to Comvita Limited without payment of cash consideration. The distribution from Comvita New Zealand Limited to Comvita Limited effected a change in the form of beneficial ownership exempt under Rule 16a-13. |