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 B Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 5,637,059 | $ 0.83 | I | MVI Partners, LLC (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
HEIMBROCK JOE 3299 HUGHES COURT TAYLOR MILL, KY 41015 |
 |  X |  |  |
MVI PARTNERS, LLC 3299 HUGHES COURT TAYLOR MILLL, KY 41015 |
 |  X |  |  |
/s/Joe Heimbrock | 04/29/2016 | |
**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) | MVI Partners, LLC owns 493,913 shares of Series B Preferred Stock, which is convertible at any time, at the election of the holder, into Common Stock, and has no expiration date. |
(2) | Joe Heimbrock is the Managing Member of the MVI Partners, LLC. Accordingly, the shares of Series B Preferred Stock owned by MVI Partners, LLC may be deemed to be owned by Joe Heimbrock. Both MVI Partners, LLC and Joe Heimbrock are deemed to be beneficial owners of 10% or more of the Common Stock. The address of MVI Partners, LLC is the same as Joe Heimbrock. |