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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 | ||||||||
Option to Acquire (right to buy) | $ 8 | 12/23/2014 | X | 380,000 | 07/02/2014 | 07/02/2017 | Common Stock | 380,000 | $ 0 | 0 | I | See (3) | |||
Option to Acquire (right to buy) | $ 8 | 12/23/2014 | S | 620,000 | 07/02/2014 | 07/02/2017 | Common Stock | 620,000 | $ 0 | 0 | I | See (4) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Leung Pak To 1902-03 BANK OF AMERICA TOWER, 12 HARCOU HONG KONG, F4 00000 |
X | |||
Venture Garden Ltd 1902-03 BANK OF AMERICA TOWER 12 HARCOURT RD, CENTRAL HONG KONG, F4 00000 |
Controlled by a 10% Owner | |||
Full Moon Resources Ltd 1902-03 BANK OF AMERICA TOWER 12 HARCOURT RD, CENTRAL HONG KONG, F4 00000 |
Controlled by a 10% Owner |
/s/ Pak To Leung | 12/24/2014 | |
**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) | Represents (x) 554,777 shares held by Full Moon Resources Limited ("Full Moon Resources"), a company wholly owned by the Reporting Person, and for which he is the sole director, and (y) 380,000 shares acquired through the exercise of an option to purchase common stock held by Venture Garden Limited ("Venture Garden"), a company wholly owned by the Reporting Person and for which he is the sole director. |
(2) | Reflects a private sale by Venture Garden. Full Moon Resources expressly disclaims beneficial ownership of the shares of Common Stock the Issuer beneficially owned by Venture Garden, and vice versa. |
(3) | Through the exercise of the options to purchase common stock granted to Venture Garden by the Company. |
(4) | A portion of the option to purchase common stock was transferred by Venture Garden in a private transaction. |