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 | ||||
Warrants to purchase Common Stock | Â (4) | 06/30/2009 | Common Stock | 684,600 | $ 5 | D (1) | Â |
Warrants to purchase Common Stock | Â (4) | 06/30/2009 | Common Stock | 158,000 | $ 5 | I (3) | By Seneca Ventures |
Warrants to purchase Common Stock | Â (4) | 06/30/2009 | Common Stock | 158,000 | $ 5 | I (3) | By Woodland Venture Fund |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RUBENSTEIN BARRY 68 WHEATLEY RD BROOKVILLE, NY 11545 |
 |  X |  |  |
/s/ Barry Rubenstein | 06/29/2007 | |
**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) | Held by the Barry Rubenstein Rollover IRA Account |
(2) | Held by Barry Rubenstein and Marilyn Rubenstein (spouse) |
(3) | The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
(4) | The Warrants become exercisable upon the completion by the Issuer of a business combination with a target business. |