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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 | ||||||||
Option to purchase common stock | $ 0.08 | 09/16/2011 | 09/16/2011 | D | 100,000 | 12/01/2006 | 12/31/2013 | Common Stock | 100,000 | (1) (2) | 1,266,031 (1) (2) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SHERBORNE JOHN ELLIOTT JR 1200 SEVENTEENTH ST, SUITE 980 DENVER, CO 80202 |
X | President, New Venture |
/s/ John E. Sherborne | 10/13/2011 | |
**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) | Includes 66,000 options exercisable at USD$0.08 and expiring 11/23/2016; 2,780 options exercisable at USD$0.23 and expiring 11/23/2016; 117,530 options exercisable at USD$0.08 and expiring 12/31/2017; 15,510 options exercisable at USD$0.23 and expiring 12/31/2017; 10,016 options exercisable at USD$0.08 and expiring 12/31/2013; 400,000 options exercisable at USD$0.15 and expiring 12/31/2013; 50,016 options exercisable at USD$0.08 and expiring 12/31/2014; 40,000 options exercisable at USD$0.38 and expiring 12/31/2014; 60,011 options exercisable at USD$1.30 and expiring 12/31/2015; 20,000 options exercisable at USD$1.08 and expiring 08/15/2016; 16,668 options exercisable at USD$1.08 and expiring 08/15/2016; 9,226 options exercisable at CDN$2.36 and expiring 10/26/2017; 78,038 options exercisable at CDN$1.68 and expiring 01/02/2018; [continued on footnote (2)] |
(2) | 15,000 options exercisable at CDN$0.65 and expiring 02/03/2019; 115,774 options exercisable at CDN$2.36 and expiring 10/26/2017; 46,962 options exercisable at CDN$1.68 and expiring 01/02/2018; 22,500 options exercisable at CDN$0.65 and expiring 02/03/2019; 90,000 options exercisable at CDN$0.90 and expiring 01/10/2020; and 90,000 options exercisable at CDN$0.70 and expiring 01/20/2021. |