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 | ||||
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 1,200,000 | $ 0.07 | D | Â |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 8,000,000 (1) | $ 0.07 | I | By The Peierls Foundation, Inc. |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 170,000 (2) | $ 0.07 | I | By the UD E.S. Peierls for E.F. Peierls et al |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 260,000 (3) | $ 0.07 | I | By the UD E.F. Peierls for B.E. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 260,000 (4) | $ 0.07 | I | By the UD E.F. Peierls for E.J. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 220,000 (5) | $ 0.07 | I | By the UW E.S. Peierls for BEP Art VI-Accum |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 150,000 (6) | $ 0.07 | I | By the UW E.S. Peierls for EJP Art VI-Accum |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 320,000 (7) | $ 0.07 | I | By the UW J.N. Peierls for B.E. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 320,000 (8) | $ 0.07 | I | By the UW J.N. Peierls E.J. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 330,000 (9) | $ 0.07 | I | By the UD J.N. Peierls for B.E. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 330,000 (10) | $ 0.07 | I | By the UD J.N. Peierls E.J. Peierls |
Warrants (right to buy) | Â (12) | 05/06/2015 | Common Stock | 700,000 (11) | $ 0.07 | I | By the UD Ethel F. Peierls Charitable Lead Trust |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
PEIERLS E JEFFREY 73 SOUTH HOLMAN WAY GOLDEN, CO 80401 |
 |  X |  |  |
/s/ E. Jeffrey Peierls | 04/23/2012 | |
**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) | Mr. Peierls is President and a Director of The Peierls Foundation, Inc. ("Foundation") and may be deemed to indirectly own the securities owned by the Foundation. |
(2) | Mr. Peierls is a Co-Trustee of the E.F. Peierls et al Trust ("Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(3) | Mr. Peierls is a Co-Trustee of the UD E.F. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(4) | Mr. Peierls is a Co-Trustee of the UD E.F. Peierls for E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(5) | Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for BEP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(6) | Mr. Peierls is a Co-Trustee of the UW E.S. Peierls for EJP Art VI-Accum Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(7) | Mr. Peierls is a Co-Trustee of the UW J.N. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(8) | Mr. Peierls is a Co-Trustee of the UW J.N. Peierls E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(9) | Mr. Peierls is a Co-Trustee of the UD J.N.. Peierls for B.E. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(10) | Mr. Peierls is a Co-Trustee of the UD J.N. Peierls E.J. Peierls Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(11) | Mr. Peierls is a Co-Trustee of the U.D. Ethel F. Peierls Charitable Lead Trust (the "Trust") and may be deemed to indirectly own the securities owned by the Trust. |
(12) | The Warrants are exercisable immediately. |