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 | ||||
Series D Preferred Stock | 04/21/2016 | Â (2) | Series D Stock | 400,000 | $ (3) | D (1) | Â |
Warrants | 04/21/2016 | 04/21/2019 | Common Stock | 35,000,000 | $ 0.01 | D (1) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Sandor Capital Master Fund, L.P. 2828 ROUTH STREET, SUITE 500 DALLAS, TX 75201 |
 |  X |  |  |
/s/ John S. Lemak | 01/31/2018 | |
**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) | John S. Lemak is the Manager of Sandor Capital Master Fund, L.P. and is such capacity has voting and depository power over securities held by such entity. |
(2) | There is no expiration date with respect to the Series D Convertible Preferred Stock or conversion thereof. |
(3) | Each share of Series D Convertible Preferred Stock is convertible into 100 shares of common stock, subject to a 4.99% beneficial ownership blocker. |