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| As Of | Filer | Filing¹ | For·On·As | Docs:Size | Issuer | | Filing Agent | | | | | | | | | |
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5/9/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
5/7/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
5/3/12 Laurus Master Fund Ltd. 4/A %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
5/3/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
5/1/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:18K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
4/25/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
4/23/12 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:23K Biovest International Inc. Toppan Merrill/FA
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
2/2/12‡ Laurus Capital Management LLC SC 13G/A 2/1/12 1:26K Creative Vistas Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II, Corp.³
Valens U.S. SPV I, LLC³
2/11/11 Laurus Capital Management LLC SC 13G/A 1:28K Numerex Corp./PA Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens U.S. SPV I, LLC³
2/11/11 Laurus Capital Management LLC SC 13G/A 1:178K Creative Vistas Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II, Corp.³
Valens U.S. SPV I, LLC³
2/3/11 Laurus Master Fund Ltd. 3 %Own.,Oth.² 1:17K Biovest International Inc. Broadridge Fin’l So… Inc
Grin David
Grin Eugene
Laurus Capital Management LLC
PSource Structured Debt Ltd.
Valens Capital Management, LLC
Valens Offshore SPV I, Ltd.
Valens U.S. SPV I, LLC
2/16/10 Laurus Capital Management LLC SC 13G/A 1:299K Creative Vistas Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II, Corp.³
Valens U.S. SPV I, LLC³
2/16/10 Laurus Capital Management LLC SC 13G/A 1:23K Biodelivery Sciences Int’l Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
2/16/10 Laurus Capital Management LLC SC 13G/A 1:55K Windswept Environmental Gp Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC.³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II, Corp.³
Valens U.S. SPV I, LLC³
2/16/10 Laurus Capital Management LLC SC 13G/A 1:50K RPM Technologies Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II Corp.³
Valens U.S. SPV I, LLC³
2/16/10 Laurus Capital Management LLC SC 13G/A 1:51K Numerex Corp./PA Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens U.S. SPV I, LLC³
2/4/10 Laurus Master Fund Ltd. 4 %Own.,Oth.² 1:8K Growlife, Inc. Broadridge Fin’l So… Inc
Grin David
Grin Eugene
Laurus Capital Management LLC
1/22/10 Laurus Capital Management LLC SC 13D/A 1:108K Growlife, Inc. Lowenstein Sandler PC/FA
David Grin³
Eugene Grin³
Laurus Master Fund, Ltd. (In Liquidation)³
1/13/10 Laurus Capital Management LLC SC 13G/A 1:246K Creative Vistas Inc. Toppan Merrill/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens U.S. SPV I, LLC³
6/3/09 Laurus Capital Management LLC SC 13D/A 1:75K National Investment Managers Inc. Lowenstein Sandler PC/FA
David Grin³
Eugene Grin³
Psource Structured Debt Ltd.³
Valens Capital Management, LLC³
Valens Offshore SPV I, Ltd.³
Valens Offshore SPV II, Corp.³
Valens U.S. SPV I, LLC³
| ____________ | | ‡ | A non-Insider-Ownership Filing that was accepted after the SEC “closed” at 5:30:00pm ET. The legal “Filed As Of” date may be the next, or another, day. | | ¹ | Filing/Form Types: -K | | 3 | Initial Statement of Beneficial Ownership of Securities by an Insider — Form 3 { The Filer is an Insider² of the Issuer }. | | 4 | Statement of Changes in Beneficial Ownership of Securities by an Insider — Form 4 { The Filer is an Insider² of the Issuer }. | | SC 13D | Statement of Acquisition of Beneficial Ownership by an “Active” Investor — Schedule 13D. | | SC 13G | Statement of Acquisition of Beneficial Ownership by a “Passive” Investor — Schedule 13G. | | /A | Amendment to, or Amended version of, a previous Filing of this Type. | | ² | Insider: The Filer is a Director, Officer, 10% Owner and/or Other “insider” of the Issuer. | | ³ | Group Member: A Registrant or non-Registrant party to this Filing made by a Group. |
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