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) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
Warrant
|
12/15/2009 |
12/15/2014 |
Common Stock
|
156,250
(1)
|
$
1.6
|
I
|
As the trustee to the Singer Children's Management Trust, the sole member of HWH Lending, LLC
|
Warrant
|
05/03/2010 |
05/03/2015 |
Common Stock
|
156,250
(1)
|
$
1.6
|
I
|
As the trustee to the Singer Children's Management Trust, the sole member of HWH Lending, LLC
|
Series B Preferred Stock
|
11/08/2010 |
Â
(2)
|
Common Stock
|
820,570
(1)
|
$
0
(3)
|
I
|
As the trustee to the Singer Children's Management Trust, the sole member of HWH Lending, LLC
|
7% Secured Convertible Promissory Note
|
11/08/2010 |
12/31/2012 |
Common Stock
|
264,550
(1)
|
$
0
(4)
|
I
|
As the trustee to the Singer Children's Management Trust, the sole member of HWH Lending, LLC
|
Warrant
|
11/08/2010 |
11/08/2015 |
Common Stock
|
585,808
(1)
|
$
3
|
I
|
As the trustee to the Singer Children's Management Trust, the sole member of HWH Lending, LLC
|
* |
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) |
The reporting person disclaims beneficial ownership of these securities except to the extent of her pecuniary interest therein. This filing shall not be deemed an admission that the reporting person is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any equity securities covered by this filing. |
(2) |
N/A |
(3) |
The reporting person holds 164,114 shares of Series B Preferred Stock. Each share of Series B Preferred Stock is immediately convertible into 5 shares of common stock. |
(4) |
The convertible note is immediately convertible into 52,910 shares of Series B Preferred Stock. Each share of Series B Preferred Stock is immediately convertible into 5 shares of common stock. |