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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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
WAGENHEIM PHILIP C/O BROADBAND CAPITAL MANAGEMENT LLC 712 FIFTH AVENUE 22ND FLOOR NEW YORK, NY 10019 |
X |
/s/ Philip Wagenheim | 10/18/2013 | |
**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) | Mr. Wagenheim contributed 95,000 shares of common stock to Committed Capital Holdings LLC in transactions occurring on October 7, 2013 and October 11, 2013. As a result of these contributions and a private purchase of 87,949 shares of common stock, par value $0.0001 per share, by Committed Capital Holdings LLC on October 16, 2013, Committed Capital Holdings LLC is the owner of 967,435 shares of common stock. As a result of a reallocation of the membership interests in Committed Capital Holdings LLC on October 7, 2013 and October 11, 2013, Mr. Wagenheim holds 0.1034% of the membership interests in Committed Capital Holdings LLC, which is equivalent to an indirect pecuniary interest in 1,000 shares of common stock owned by Committed Capital Holdings LLC. (Continued in Footnote 2) |
(2) | (Continued from Footnote 1) Mr. Wagenheim does not exercise voting or dispositive power over the shares of common stock held by Committed Capital Holdings LLC and does not have a pecuniary interest in the shares of common stock held by Committed Capital Holdings LLC above his membership interests in Committed Capital Holdings LLC. |