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 | ||||
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 200,000 (1) | $ 6 (4) | D | Â |
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 200,000 (1) | $ 6 (5) | D | Â |
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 25,941 (2) | $ 6 (4) | D | Â |
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 25,942 (2) | $ 6 (5) | D | Â |
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 174,058 (3) | $ 6 (4) | D | Â |
Warrant (right to purchase) | 06/08/2007 | 06/08/2012 | Common Stock | 174,059 (3) | $ 6 (5) | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
RADIUS VENTURE PARTNERS II LP 400 MADISON AVENUE 8TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
RADIUS VENTURE PARTNERS III L P 400 MADISON AVE 8TH FL NEW YORK, NY 10017 |
 |  X |  |  |
Radius Venture Partners III QP, L.P. 400 MADISON AVENUE 8TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
Radius Venture Partners II, LLC 400 MADISON AVENUE 8TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
Radius Venture Partners III, LLC 400 MADISON AVENUE 8TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
Davis Jordan RADIUS VENTURE PARTNERS II, LLC 400 MADISON AVENUE, 8TH FLOOR NEW YORK, NY 10017 |
 X |  |  |  |
LUBIN DANIEL C RADIUS VENTURE PARTNERS II LLC 400 MADISON AVE 8TH FLOOR NEW YORK, NY 10017 |
 |  X |  |  |
/s/ Jordan S. Davis, Managing Member of Radius Venture Partners II, LLC, General Partner of Radius Venture Partners II, L.P. | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jordan S. Davis, Managing Member of Radius Venture Partners III, LLC, General Partner of Radius Venture Partners III, L.P. | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jordan S. Davis, Managing Member of Radius Venture Partners III, LLC, General Partner of Radius Venture Partners III QP, L.P. | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jordan S. Davis, Managing Member of Radius Venture Partners II, LLC | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jordan S. Davis, Managing Member of Radius Venture Partners III, LLC | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Jordan S. Davis | 06/12/2007 | |
**Signature of Reporting Person | Date | |
/s/ Daniel C. Lubin | 06/12/2007 | |
**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) | These securities are held directly by Radius Venture Partners II, L.P. and indirectly by Radius Venture Partners II, LLC, the general partner of Radius Venture Partners II, L.P., Jordan S. Davis, a director of BTHC VI, Inc. and managing member of Radius Venture Partners II, LLC, and Daniel C. Lubin, managing member of Radius Venture Partners II, LLC. Each of Radius Venture Partners II, LLC, Mr. Davis and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein. |
(2) | These securities are held directly by Radius Venture Partners III, L.P. and indirectly by Radius Venture Partners III, LLC, the general partner of Radius Venture Partners III, L.P., Jordan S. Davis, a director of BTHC VI, Inc. and managing member of Radius Venture Partners III, LLC and Daniel C. Lubin, managing member of Radius Venture Partners III, LLC. Each of Radius Venture Partners III, LLC, Mr. Davis and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein. |
(3) | These securities are held directly by Radius Venture Partners III QP, L.P. and indirectly by Radius Venture Partners III, LLC, the general partner of Radius Venture Partners III QP, L.P., Jordan S. Davis, a director of BTHC VI, Inc. and managing member of Radius Venture Partners III, LLC, and Daniel C. Lubin, managing member of Radius Venture Partners III, LLC. Each of Radius Venture Partners III, LLC, Mr. Davis and Mr. Lubin may be deemed to beneficially own such securities, and disclaims such beneficial ownership except to the extent of its or his pecuniary interest therein. All of Jordan S. Davis, Daniel C. Lubin, Radius Venture Partners II, L.P., Radius Venture Partners III, L.P., Radius Venture Partners III QP, L.P., Radius Venture Partners II, LLC and Radius Venture Partners III, LLC have as their business address the following: 400 Madison Avenue, 8th Floor, New York, NY 10017. |
(4) | Warrants contain cashless exercise provision. |
(5) | Warrants generally do not contain cashless exercise provision. |