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 | ||||
Warrants | 10/03/2011 | 01/25/2014(1) | Common Stock | 220,000 | $ 0.96 (1) | D | |
Exchangeable Shares | (2) | (2) | Common Stock | 3,858,542 | $ (2) (3) | D | |
Options | 02/01/2012 | 02/01/2022 | Common Stock | 150,000 | $ 0.5 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
BACHA JEFFREY SUITE 720-999 WEST BROADWAY VANCOUVER, A1 V5Z 1K5 |
X | CEO and President |
/s/ Jeffrey Bacha | 02/13/2013 | |
**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) | The warrants are exercisable at $0.96 until 7/25/2013 and thereafter at $1.20 until 1/25/2014. |
(2) | Exchangeable Shares are shares of Exchangeco (as that term is defined in the Exchange Agreement filed with the SEC on the Issuer's Current Report on form 8-K on January 31, 2013) which are exchangeable on a 1-for-1 basis for shares of common stock in the Issuer at any time at the discretion of the Reporting Person. |
(3) | Does not include 2,608,541 Exchangeable Share held in Trust of which the Reporting Person is not the beneficiary. |