|
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 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. | |||
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) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 1,417 | 01/31/2014 | 01/01/2019 | Common Stock | 1,417 | $ 55 | 0 | I | By Beverly Sue Spitcaufsky Trust (1) | ||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 1,417 | 01/31/2014 | 01/01/2019 | Common Stock | 1,417 | $ 70 | 0 | I | By Beverly Sue Spitcaufsky Trust (1) | ||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 709 | 01/31/2014 | 01/01/2019 | Common Stock | 709 | $ 55 | 709 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 (1) | ||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 709 | 01/31/2014 | 01/01/2019 | Common Stock | 709 | $ 70 | 709 | I | By Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 (1) | ||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 708 | 01/31/2014 | 01/01/2019 | Common Stock | 708 | $ 55 | 2,125 | I | By Larry S. Spitcaufsky Trust (1) | ||
Warrants (right to buy) | $ 0 | 01/18/2018 | W | V | 708 | 01/31/2014 | 01/01/2019 | Common Stock | 708 | $ 70 | 2,125 | I | By Larry S. Spitcaufsky Trust (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
SPITCAUFSKY LARRY 7621 LITTLE AVENUE, SUITE 414 CHARLOTTE, NC 28226 |
X | X |
/s/ Larry Spitcaufsky | 12/10/2018 | |
**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 beneficiary of the Beverly Sue Spitcaufsky Trust passed away in December 2017, and the shares of common stock of the Issuer and the warrants to purchase shares of common stock of the Issuer owned by the Beverly Sue Spitcaufsky Trust were transferred, in equal parts, to Larry S. Spitcaufsky Trust and Larry Spitcaufsky and Nancy Eisner TTEE The Nancy Spitcaufsky Eisner Trust U/A DTD 10/19/1987 on January 18, 2018. |
(2) | This amount includes the 30,000 shares of common stock owned by Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 reported on the Form 4 filed by the Reporting Person on May 11, 2018. The Larry Steve Spitcausfky TTEE Larry S Spitcaufsky Family Tru U/A DTD 08/23/1995 is the same trust as the Larry S. Spitcaufsky, Trustee of the Larry Spitcaufsky Family Trust UTD 1-19-88, though using a differently styled name. The amount indicated shows the cumulative shares owned by the trust. |
(3) | Shares acquired pursuant to the Issuer's director compensation policy, which permits directors to elect to receive shares of common stock of the Issuer in lieu of receiving their quarterly retainer in cash. |