Insider filing report for Changes in Beneficial Ownership
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FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Remarks: 1. This statement on Form 3 is being jointly filed by Oz Rey, LLC, MV Amanth, LLC and Robert S. Hersch (collectively, the "Reporting Persons"). The securities are owned directly by Oz Rey, LLC. MV Amanth, as the owner of 80% of the common units of Oz Rey, LLC, has the ability to appoint all of the managers of Oz Rey, LLC. Robert S. Hersch, is the sole member of MV Amanth, LLC. Consequently, each of MV Amanth, LLC and Mr. Hersch may be deemed to have beneficial ownership of the securities owned by Oz Rey, LLC under Section 13 of the Securities Exchange Act of 1934, as amended.2. The Reporting Persons disclaim beneficial ownership of the securities indicated except to the extent of their pecuniary interest therein, and the reporting herein of such securities shall not be construed as an admission that the Reporting Persons are the beneficial owners thereof.3. The Common Stock Purchase Warrants were originally issued on May 4, 2017 and became exercisable at $3.50 per share of common stock on November 4, 2017, and will remain exercisable until May 4, 2027. |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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). |
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.