3: Initial statement of beneficial ownership of securities
Published on October 5, 2015
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 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 |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Group 42, Inc. 312 PEARL PKWY., CIA BUILDING II, SUITE SAN ANTONIO, TX 78215 |
X | See Explanation of Responses | ||
Bell Paul A 1654463 312 PEARL PKWY., CIA BUILDING II, SUITE SAN ANTONIO, TX 78215 |
X | See Explanation of Responses |
Signatures
/s/ Michael Keane, Chairman of the Board, on behalf of Group 42, Inc. | 10/05/2015 | |
**Signature of Reporting Person | Date | |
/s/ Michael Keane, for Paul. A. Bell | 10/05/2015 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | This Form 3 is filed jointly by Group 42, Inc. ("Group 42") and Paul A. Bell (collectively, the "Reporting Persons") who are filing this report because each of the Reporting Persons is a member of a Section 13(d) group disclosed in a Schedule 13D filed on behalf of the Reporting Persons and certain other stockholders of the Issuer on September 25, 2015. Each Reporting Person is a member of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, each Reporting Person may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The securities reported herein do not include any securities held by any group member other than the Reporting Persons, as such shares are being reported in a separate Form 3 filing. |
(2) | All of the reported shares are beneficially owned by Group 42. Paul A. Bell, in his capacity as President, Chief Executive Officer and controlling stockholder of Group 42, may be deemed the beneficial owner of the shares beneficially owned by Group 42. Mr. Bell disclaims beneficial ownership of the shares of Common Stock reported herein except to the extent of his pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. |
Remarks: Exhibit 24 - Confirming Statement of Paul A. Bell. |