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 (1) | 03/14/2008 | 03/14/2013 | Common Stock | 1,560,062 | $ 3.08 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Quercus Trust 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA,, CA 92627 |
 |  X |  |  |
Gelbaum David 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA,, CA 92627 |
 |  X |  | Co-Trustee |
Gelbaum Monica Chavez 1835 NEWPORT BLVD. A109-PMB 467 COSTA MESA,, CA 92627 |
 |  X |  | Co-Trustee |
/s/ David Gelbaum, Co-Trustee, The Quercus Trust | 09/11/2008 | |
**Signature of Reporting Person | Date | |
/s/ David Gelbaum, as attorney-in-fact for Monica Chavez Gelbaum, Co-Trustee, The Quercus Trust | 09/11/2008 | |
**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) | This amendment to Form 3 is being filed to clarify that, in accordance with the limitations on exercise in the Warrant, the number of shares of common stock of the Issuer ("Common Stock") that may be acquired by the Reporting Persons upon any exercise of the Warrant is limited to the extent necessary to insure that, following such exercise, the total number of Common Stock then beneficially owned by the Reporting Persons does not exceed 19.9% of the total number of outstanding Common Stock (including the Common Stock issuable upon such exercise). |