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As Of Filer Filing For·On·As Docs:Size Issuer Agent 9/19/08 Composite Technology Corp 424B3 1:403K Vintage/FA |
Document/Exhibit Description Pages Size 1: 424B3 Prospectus HTML 244K
Unassociated Document |
1) |
Update
the information provided under “Selling Shareholders” in the prospectus
dated August 8, 2007.
|
|
|
Annex
|
|
|
|
Selling
Shareholders
|
|
A
|
·
|
1,316,829
shares issuable upon exercise of warrants issued as a fee for services
as
our placement agents and financial advisors in the private placement
that
closed in February 2007.
|
·
|
1,226,814
shares issuable upon exercise of Warrants we issued to selling
shareholders in connection with additional warrants granted in connection
with price-based, anti-dilution
rights.
|
·
|
4,000,000
shares issued to two shareholders in connection with the EU Energy
acquisition.
|
·
|
1,800,000
shares issuable upon exercise of warrants issued in connection with
the
factored receivable arrangement from November,
2006.
|
SELLING
SECURITY HOLDER
|
|
BENEFICIALLY
OWNED
SHARES
BEFORE
OFFERING
|
|
|
|
SHARES
TO BE
SOLD IN
THE
OFFERING
|
|
PERCENTAGE
OF
OUTSTANDING
BENEFICIALLY
OWNED
AFTER
OFFERING
|
|
||||
|
|
|
|
|
|
|
|
|
|
||||
Bushido
Capital Master Fund, LP
|
|
|
142,839
|
|
|
(1
|
)
|
|
46,065
|
|
|
*
|
|
Gamma
Opportunity Class A
|
|
|
71,422
|
|
|
(2
|
)
|
|
23,034
|
|
|
*
|
|
Gamma
Opportunity Class C
|
|
|
71,422
|
|
|
(3
|
)
|
|
23,034
|
|
|
*
|
|
Midsummer
Investment Ltd.
|
|
|
3,562,180
|
|
|
(4
|
)
|
|
184,257
|
|
|
1.65
|
%
|
SRG
Capital
|
|
|
571,353
|
|
|
(5
|
)
|
|
184,257
|
|
|
*
|
|
Hudson
Bay Fund, LP
|
|
|
1,797,519
|
|
|
(6
|
)
|
|
24,195
|
|
|
*
|
|
Enable
Growth Partners
|
|
|
890,600
|
|
|
(7
|
)
|
|
85,479
|
|
|
*
|
|
Enable
Opportunity Partners
|
|
|
165,968
|
|
|
(8
|
)
|
|
20,363
|
|
|
*
|
|
Pierce
Diversified Strategy
|
|
|
136,039
|
|
|
(9
|
)
|
|
2,419
|
|
|
*
|
|
Capital
Ventures International
|
|
|
1,040,694
|
|
|
(10
|
)
|
|
328,055
|
|
|
*
|
|
Lane
Capital Markets LLC
|
|
|
331,386
|
|
|
(11
|
)
|
|
3,226
|
|
|
*
|
|
Ryan
M. Lane
|
|
|
567,985
|
|
|
(12
|
)
|
|
109,437
|
|
|
*
|
|
Bradley
Rotter
|
|
|
1,800,000
|
|
|
(13
|
)
|
|
1,800,000
|
|
|
*
|
|
Capstone
Investments
|
|
|
1,512,120
|
|
|
(14
|
)
|
|
1,512,120
|
|
|
*
|
|
Kuhns
Brothers, Inc.
|
|
|
36,058
|
|
|
(15
|
)
|
|
36,058
|
|
|
*
|
|
Gregory
C. Dryer
|
|
|
36,058
|
|
|
(16
|
)
|
|
36,058
|
|
|
*
|
|
Douglas
Metz
|
|
|
216,000
|
|
|
(17
|
)
|
|
200,000
|
|
|
*
|
|
Rayna
Ltd.
|
|
|
16,436,631
|
|
|
(18
|
)
|
|
3,000,000
|
|
|
6.54
|
%
|
Stephen
Bircher
|
|
|
11,577,755
|
|
|
(19
|
)
|
|
1,000,000
|
|
|
5.15
|
%
|
EGI-Fund
(05-07) Investors, L.L.C.
|
|
|
4,354,930
|
|
|
(20
|
)
|
|
1,470,314
|
|
|
1.40
|
%
|
Fort
Mason Master, LP
|
|
|
3,386,178
|
|
|
(21
|
)
|
|
1,150,644
|
|
|
1.09
|
%
|
Fort
Mason Partners, LP
|
|
|
221,015
|
|
|
(22
|
)
|
|
74,620
|
|
|
*
|
|
Glacier
Partners, LP
|
|
|
1,673,077
|
|
|
(23
|
)
|
|
171,538
|
|
|
*
|
|
Grandview,
LLC
|
|
|
7,258,217
|
|
|
(24
|
)
|
|
2,450,524
|
|
|
2.34
|
%
|
Heartland
Group, Inc.
|
|
|
3,629,109
|
|
|
(25
|
)
|
|
1,225,262
|
|
|
1.17
|
%
|
Peter
J. Abeles & Jonnet Abeles JTWOS
|
|
|
36,293
|
|
|
(26
|
)
|
|
12,254
|
|
|
*
|
|
Bard
Micro-Cap Value Fund, LLC
|
|
|
72,583
|
|
|
(27
|
)
|
|
24,506
|
|
|
*
|
|
Bell
Partnership Retirement Plan UAD 12/30/06
|
|
|
36,293
|
|
|
(28
|
)
|
|
12,254
|
|
|
*
|
|
Ralph
A. L. Bogan, Jr. Trust UAD 12/04/95
|
|
|
36,293
|
|
|
(29
|
)
|
|
12,254
|
|
|
*
|
|
Bourquin
Family Trust UAD 05/07/98
|
|
|
72,583
|
|
|
(30
|
)
|
|
24,506
|
|
|
*
|
|
Anne
R. Brown Trust UAD 03/30/90
|
|
|
36,293
|
|
|
(31
|
)
|
|
12,254
|
|
|
*
|
|
Carol
Clark Coolidge Trust UAD 03/13/97
|
|
|
72,583
|
|
|
(32
|
)
|
|
24,506
|
|
|
*
|
|
Christine
E. Coolidge Trust UAD 02/09/02
|
|
|
36,293
|
|
|
(33
|
)
|
|
12,254
|
|
|
*
|
|
Suzanne
R. Davis
|
|
|
36,293
|
|
|
(34
|
)
|
|
12,254
|
|
|
*
|
|
Katharine
B. Dickson & Mark A. Dickson JTWOS
|
|
|
108,875
|
|
|
(35
|
)
|
|
36,759
|
|
|
*
|
|
William
G. Escamilla Trust UAD 07/29/03
|
|
|
36,293
|
|
|
(36
|
)
|
|
12,254
|
|
|
*
|
|
J.
Scott Etzler
|
|
|
36,293
|
|
|
(37
|
)
|
|
12,254
|
|
|
*
|
|
Gary
R. Fairhead
|
|
|
72,583
|
|
|
(38
|
)
|
|
24,506
|
|
|
*
|
|
Leonard
M. Herman Trust UAD 06/10/93
|
|
|
108,875
|
|
|
(39
|
)
|
|
36,759
|
|
|
*
|
|
Sidney
N. Herman
|
|
|
72,583
|
|
|
(40
|
)
|
|
24,506
|
|
|
*
|
|
Joshua
Herrendorf
|
|
|
36,293
|
|
|
(41
|
)
|
|
12,254
|
|
|
*
|
|
Timothy
B. Johnson Trust UAD 04/04/94
|
|
|
72,583
|
|
|
(42
|
)
|
|
24,506
|
|
|
*
|
|
T.
Michael Johnson & Patricia R. Johnson JTWOS
|
|
|
36,293
|
|
|
(43
|
)
|
|
12,254
|
|
|
*
|
|
William
K. Kellogg 1953 Trust, UAD 01/14/53
|
|
|
72,583
|
|
|
(44
|
)
|
|
24,506
|
|
|
*
|
|
Anne
H. Ross Lyon
|
|
|
36,293
|
|
|
(45
|
)
|
|
12,254
|
|
|
*
|
|
Susan
W. McMillan Trust UAD 10/10/71
|
|
|
36,293
|
|
|
(46
|
)
|
|
12,254
|
|
|
*
|
|
John
Bard Manulis
|
|
|
72,583
|
|
|
(47
|
)
|
|
24,506
|
|
|
*
|
|
Matthew
Moog
|
|
|
36,293
|
|
|
(48
|
)
|
|
12,254
|
|
|
*
|
|
MSP
1932 Trust UAD 12/06/95
|
|
|
36,293
|
|
|
(49
|
)
|
|
12,254
|
|
|
*
|
|
Seth
L. Pierrepont
|
|
|
36,293
|
|
|
(50
|
)
|
|
12,254
|
|
|
*
|
|
Marvin
J. Pollack Trust UAD 05/22/90
|
|
|
36,293
|
|
|
(51
|
)
|
|
12,254
|
|
|
*
|
|
Allan
R. Schuman
|
|
|
72,583
|
|
|
(52
|
)
|
|
24,506
|
|
|
*
|
|
M.
Edward Sellers & Suzan D. Boyd JTWOS
|
|
|
36,293
|
|
|
(53
|
)
|
|
12,254
|
|
|
*
|
|
Dale
F. Snavely
|
|
|
72,583
|
|
|
(54
|
)
|
|
24,506
|
|
|
*
|
|
Robert
S. Steinbaum
|
|
|
36,293
|
|
|
(55
|
)
|
|
12,254
|
|
|
*
|
|
Rosemary
Steinbaum
|
|
|
36,293
|
|
|
(56
|
)
|
|
12,254
|
|
|
*
|
|
Janet
J. Underwood Trust UAD 06/25/02
|
|
|
72,583
|
|
|
(57
|
)
|
|
24,506
|
|
|
*
|
|
Ardsley
Partners Renewable Energy Fund L.P.
|
|
|
531,250
|
|
|
(58
|
)
|
|
531,250
|
|
|
*
|
|
Ardsley
Renewable Energy Offshore Fund, Ltd.
|
|
|
100,000
|
|
|
(59
|
)
|
|
100,000
|
|
|
*
|
|
Bodri
Capital Fund LP
|
|
|
234,574
|
|
|
(60
|
)
|
|
234,574
|
|
|
*
|
|
Bodri
Capital Offshore Fund Ltd.
|
|
|
458,093
|
|
|
(61
|
)
|
|
458,093
|
|
|
*
|
|
The
Catfish Fund LP
|
|
|
3,095,214
|
|
|
(62
|
)
|
|
3,095,214
|
|
|
*
|
|
Brecken
Capital Management Fund LLC
|
|
|
1,767,303
|
|
|
(63
|
)
|
|
805,764
|
|
|
*
|
|
Chestnut
Ridge Partners, LP
|
|
|
315,658
|
|
|
(64
|
)
|
|
315,658
|
|
|
*
|
|
Dynamis
Energy Fund LP
|
|
|
7,992,838
|
|
|
(65
|
)
|
|
3,250,530
|
|
|
2.31
|
%
|
Dynamis
Energy Fund, Ltd.
|
|
|
1,727,124
|
|
|
(66
|
)
|
|
700,201
|
|
|
*
|
|
EGI-Fund
(08-10) Investors, L.L.C.
|
|
|
3,787,880
|
|
|
(67
|
)
|
|
3,787,880
|
|
|
*
|
|
Gruber
& McBaine International
|
|
|
490,508
|
|
|
(68
|
)
|
|
333,150
|
|
|
*
|
|
J.
Patterson McBaine
|
|
|
103,683
|
|
|
(69
|
)
|
|
56,073
|
|
|
*
|
|
Jon
D & Linda W Gruber Trust
|
|
|
374,176
|
|
|
(70
|
)
|
|
231,346
|
|
|
*
|
|
Lagunitas
Partners, LP
|
|
|
1,737,295
|
|
|
(71
|
)
|
|
1,132,170
|
|
|
*
|
|
Millennium
Partners, LP
|
|
|
3,787,880
|
|
|
(72
|
)
|
|
3,787,880
|
|
|
*
|
|
Otago
Partners, LLC
|
|
|
685,218
|
|
|
(73
|
)
|
|
396,756
|
|
|
*
|
|
RHP
Master Fund, Ltd.
|
|
|
315,658
|
|
|
(74
|
)
|
|
315,658
|
|
|
*
|
|
SF
Capital Partners Ltd.
|
|
|
2,525,253
|
|
|
(75
|
)
|
|
2,525,253
|
|
|
*
|
|
Third
Point Offshore Fund Ltd.
|
|
|
9,176,770
|
|
|
(76
|
)
|
|
9,176,770
|
|
|
*
|
|
Third
Point Partners LP
|
|
|
1,145,204
|
|
|
(77
|
)
|
|
1,145,204
|
|
|
*
|
|
Third
Point Partners Qualified LP
|
|
|
1,101,266
|
|
|
(78
|
)
|
|
1,101,266
|
|
|
*
|
|
Third
Point Ultra Ltd.
|
|
|
1,203,034
|
|
|
(79
|
)
|
|
1,203,034
|
|
|
*
|
|
Whalehaven
Capital Fund Limited
|
|
|
631,277
|
|
|
(80
|
)
|
|
631,277
|
|
|
*
|
|
Crestview
Capital Master, LLC
|
|
|
729,935
|
|
|
(81
|
)
|
|
729,935
|
|
|
*
|
|
Warrant
Strategies Fund LLC
|
550,000
|
(82
|
)
|
550,000
|
*
|
||||||||
Total
|
|
|
107,759,376
|
|
|
|
|
|
52,331,801
|
|
|
*
|
|
|
(1)
|
Includes
up to 71,181 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.21 per share of common stock and
expiring on October 14, 2008 of which 22,194 shares will be registered
in
this offering, and up to 71,658 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $1.31 per share of
common
stock and expiring on October 14, 2008 of which 23,271 shares will
be
registered in this offering. The natural person with voting and investment
powers for this stockholder is Ronald S. Dagar.
|
|
(2)
|
Includes
up to 35,592 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.21 per share of common stock and
expiring on October 14, 2008 of which 11,398 shares will be registered
in
this offering, and up to 35,830 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $1.31 per share of
common
stock and expiring on October 14, 2008 of which 11,636 shares will
be
registered in this offering. The natural person with voting and investment
powers for this stockholder is Jonathan P. Knight.
|
|
(3)
|
Includes
up to 35,592 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.21 per share of common stock and
expiring on October 14, 2008 of which 11,398 shares will be registered
in
this offering, and up to 35,830 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $1.31 per share of
common
stock and expiring on October 14, 2008 of which 11,636 shares will
be
registered in this offering. The natural person with voting and investment
powers for this stockholder is Jonathan P. Knight.
|
|
(4)
|
Includes
up to 1,726,974 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.40 per share of common stock and
expiring on August 17, 2008, up to 541,796 shares of common stock
to be
issued upon exercise of a warrant at an exercise price of $1.40 per
share
of common stock and expiring on November 19, 2008, up to 284,724
shares of
common stock to be issued upon exercise of a warrant at an exercise
price
of $1.21 per share of common stock and expiring on October 14, 2008
of
which 91,176 shares will be registered in this offering, up to 286,629
shares of common stock to be issued upon exercise of a warrant at
an
exercise price of $1.31 per share of common stock and expiring on
October
14, 2008 of which 93,081 shares will be registered in this offering,
and
up to 722,057 shares of common stock issuable upon conversion of
certain
convertible debentures. The natural persons with voting and investment
powers for this stockholder are Scott D. Kaufman and Michel
Amsalem.
|
|
(5)
|
Includes
up to 284,724 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.21 per share of common stock and
expiring on October 14, 2008 of which 91,176 shares will be registered
in
this offering, and up to 286,629 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $1.31 per share of
common
stock and expiring on October 14, 2008 of which 93,081 shares will
be
registered in this offering. The natural persons with voting and
investment powers for this stockholder are Sander Gerber and Yoav
Roth.
SRG Capital is an affiliate of a broker-dealer. This stockholder
acquired
the securities in the ordinary course of business, and at the time
of the
acquisition of the securities, the holder had no agreements or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(6)
|
Includes
up to 503,248 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $0.99 per share of common stock and
expiring on March 3, 2009 of which 24,195 shares will be registered
in
this offering, and up to 857,143 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $2.00 per share of
common
stock and expiring on March 3, 2009. The natural persons with voting
and
investment powers for this stockholder are Sander Gerber, Yoav Roth,
and
John Doscas.
|
|
(7)
|
Includes
up to 244,915 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $0.99 per share of common stock and
expiring on March 3, 2009 of which 11,775 shares will be registered
in
this offering, up to 417,143 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $2.00 per share of
common
stock and expiring on March 3, 2009, up to 113,890 shares of common
stock
to be issued upon exercise of a warrant at an exercise price of $1.21
per
share of common stock and expiring on October 14, 2008 of which 36,471
shares will be registered in this offering, and up to 114,652 shares
of
common stock to be issued upon exercise of a warrant at an exercise
price
of $1.31 per share of common stock and expiring on October 14, 2008
of
which 37,233 shares will be registered in this offering. The natural
person with voting and investment powers for this stockholder is
Mitch
Levine. This does not include an aggregate of approximately 40,000,000
shares that Enable Growth Partners, Enable Opportunity Partners and
Pierce
Diversified Strategy Master Fund have collectively claimed they hold
as a
result of exercising warrants which became exerciseable for a
substantially greater number of shares of Company common stock following
an issuance of common stock that such securityholders allege was
significantly lower than the exercise price. The Company has vigorously
denied such allegation and believes that the claim has no
merit.
|
|
(8)
|
Includes
up to 40,260 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $0.99 per share of common stock and
expiring on March 3, 2009 of which 1,936 shares will be registered
in this
offering, up to 68,571 shares of common stock to be issued upon exercise
of a warrant at an exercise price of $2.00 per share of common stock
and
expiring on March 3, 2009, up to 28,473 shares of common stock to
be
issued upon exercise of a warrant at an exercise price of $1.21 per
share
of common stock and expiring on October 14, 2008 of which 9,118 shares
will be registered in this offering, and up to 28,664 shares of common
stock to be issued upon exercise of a warrant at an exercise price
of
$1.31 per share of common stock and expiring on October 14, 2008
of which
9,309 shares will be registered in this offering. The natural person
with
voting and investment powers for this stockholder is Mitch Levine.
This
does not include an aggregate of approximately 40,000,000 shares
that
Enable Growth Partners, Enable Opportunity Partners and Pierce Diversified
Strategy Master Fund have collectively claimed they hold as a result
of
exercising warrants which became exerciseable for a substantially
greater
number of shares of Company common stock following an issuance of
common
stock that such securityholders allege was significantly lower than
the
exercise price. The Company has vigorously denied such allegation
and
believes that the claim has no merit.
|
|
(9)
|
Includes
up to 50,325 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $0.99 per share of common stock and
expiring on March 3, 2009 of which 2,419 shares will be registered
in this
offering, and up to 85,714 shares of common stock to be issued upon
exercise of a warrant at an exercise price of $2.00 per share of
common
stock and expiring on March 3, 2009. The natural person with voting
and
investment powers for this stockholder is Mitch Levine. This does
not
include an aggregate of approximately 40,000,000 shares that Enable
Growth
Partners, Enable Opportunity Partners and Pierce Diversified Strategy
Master Fund have collectively claimed they hold as a result of exercising
warrants which became exerciseable for a substantially greater number
of
shares of Company common stock following an issuance of common stock
that
such securityholders allege was significantly lower than the exercise
price. The Company has vigorously denied such allegation and believes
that
the claim has no merit.
|
|
(10)
|
Includes
up to 300,000 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $0.99 per share of common stock and
expiring on March 3, 2009 all of which will be registered in this
offering, up to 583,551 shares of common stock to be issued upon
exercise
of a warrant at an exercise price of $0.99 per share of common stock
and
expiring on March 3, 2009 of which 28,055 shares will be registered
in
this offering, and up to 457,143 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $2.00 per share of
common
stock and expiring on March 3, 2009. Heights Capital Management,
Inc., the
authorized agent of this stockholder, has discretionary authority
to vote
and dispose of the shares held by this stockholder and may be deemed
to be
the beneficial owner of these shares. Martin Kobinger, in his capacity
as
Investment Manager of Heights Capital Management, Inc., may also
be deemed
to have investment discretion and voting power over the shares held
by
this stockholder. Mr. Kobinger disclaims any beneficial ownership
of these
shares. Capital Ventures International is an affiliate of a broker-dealer.
This stockholder acquired the securities in the ordinary course of
business, and at the time of the acquisition of the securities, the
holder
had no agreements or understandings, directly or indirectly, with
any
person to distribute the securities or any underlying warrant shares.
|
|
(11)
|
Includes
up to 114,286 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $2.00 per share of common stock and
expiring on March 3, 2009, up to 67,100 shares of common stock to
be
issued upon exercise of a warrant at an exercise price of $0.99 per
share
of common stock and expiring on March 3, 2009 of which 3,226 shares
will
be registered in this offering, and up to 150,000 shares of common
stock
to be issued upon exercise of a warrant at an exercise price of $1.55
per
share of common stock and expiring on March 3, 2009. The natural
person
with voting and investment powers for this stockholder is Ryan Lane.
Lane
Capital Markets LLC is a broker-dealer. This stockholder acquired
the
securities in the ordinary course of business, and at the time of
the
acquisition of the securities, the holder had no agreements or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(12)
|
Includes
up to 142,362 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.21 per share of common stock and
expiring on October 14, 2008 of which 45,588 shares will be registered
in
this offering, up to 143,315 shares of common stock to be issued
upon
exercise of a warrant at an exercise price of $1.31 per share of
common
stock and expiring on October 14, 2008 of which 46,541 shares will
be
registered in this offering, 265,000 shares of common stock to be
issued
upon exercise of a warrant at an exercise price of $1.83 per share
of
common stock and expiring on August 18, 2008, and up to 17,308 shares
of
common stock to be issued upon exercise of a warrant at an exercise
price
of $1.03 per share of common stock and expiring on February 27,
2010 all of which will be registered in this offering. Mr. Lane is an
affiliate of a broker-dealer. This stockholder acquired the securities
in
the ordinary course of business, and at the time of the acquisition
of the
securities, the holder had no agreements or understandings, directly
or
indirectly, with any person to distribute the securities or any underlying
warrant shares.
|
|
(13)
|
Includes
up to 1,800,000 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.06 per share of common stock and
expiring on February 28, 2009 that will be registered in this
offering.
|
|
(14)
|
Includes
up to 303,030 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.40 per share of common stock and
expiring in June 2010 that will be registered in this offering, and
up to
1,209,090 shares of common stock to be issued upon exercise of a
warrant
at an exercise price of $1.39 per share of common stock and expiring
in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Steve Capozza. Capstone Investments is a broker-dealer. This stockholder
acquired the securities in the ordinary course of business, and at
the
time of the acquisition of the securities, the holder had no agreements
or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(15)
|
Includes
up to 36,058 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.03 per share of common stock and
expiring on February 27, 2010 that will be registered in this
offering. The natural persons with voting and investment powers for
this
stockholder are John D. Kuhns and Mary E. Fellows. Kuhns Brothers,
Inc. is
an affiliate of a broker-dealer. This stockholder acquired the securities
in the ordinary course of business, and at the time of the acquisition
of
the securities, the holder had no agreements or understandings, directly
or indirectly, with any person to distribute the securities or any
underlying warrant shares. Kuhns Brothers, Inc. acted as a co-placement
agent in the Company’s financing that was completed in February 2007.
|
|
(16)
|
Includes
up to 36,058 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.03 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering.
This stockholder is a registered representative with Kuhns Brothers,
Inc.,
who acted as a co-placement agent in the Company’s financing that was
completed in February 2007.
|
|
(17)
|
Includes
up to 200,000 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.03 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering.
Mr. Metz provides business development, sales, and marketing services
at a
rate of $16,667 per month plus reimbursable expenses and is subject
to the
receipt of additional cash incentive payments upon delivery of certain
milestones. As of June 30, 2007, since July 1, 2005 we paid Mr. Metz
approximately $476,997 including incentive payments of $168,000,
and owed
him approximately $8,430. This individual had substantive access
to inside
information during the course of fulfillment of his
duties.
|
|
(18)
|
The
natural control person with voting and investment powers for this
stockholder is Michael Porter. Mr. Porter formerly served as our
President
and a consultant to the Company until April 2007.
|
|
(19)
|
Mr.
Bircher is currently our Vice President of Business
Development.
|
|
(20)
|
Includes
up to 1,442,308 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 28,006 shares of common stock issuable upon conversion of certain
senior convertible debentures that will be registered in this offering,
and up to 2,884,616 shares of common stock issuable upon conversion
of
certain senior convertible debentures that were previously registered
on
April 17, 2007 pursuant to a Registration Statement on Form S-3 (File
No.
333-141581). The natural control persons with voting and investment
powers
for this stockholder are Donald J. Liebentritt, Bert Cohen, Kellie
Zell
Harper, Leah Zell Wagner, JoAnn Zell Gillis, Matthew Zell, and Robert
M.
Levin.
|
|
(21)
|
Includes
up to 1,128,726 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 21,918 shares of common stock issuable upon conversion of certain
senior convertible debentures that will be registered in this offering,
and up to 2,257,452 shares of common stock issuable upon conversion
of
certain senior convertible debentures that were previously registered
on
April 17, 2007 pursuant to a Registration Statement on Form S-3 (File
No.
333-141581). The natural control person with voting and investment
powers
for this stockholder is Daniel German.
|
|
(22)
|
Includes
up to 73,198 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 1,422 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
146,395 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Daniel German.
|
|
(23)
|
Includes
up to 168,270 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 3,268 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
336,539 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Peter Castellanos.
|
|
(24)
|
Includes
up to 2,403,847 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 46,677 shares of common stock issuable upon conversion of certain
senior convertible debentures that will be registered in this offering,
and up to 4,807,693 shares of common stock issuable upon conversion
of
certain senior convertible debentures that were previously registered
on
April 17, 2007 pursuant to a Registration Statement on Form S-3 (File
No.
333-141581). The natural control person with voting and investment
powers
for this stockholder is Israel A. Englander. Grandview LLC is an
affiliate
of a broker-dealer. This stockholder acquired the securities in the
ordinary course of business, and at the time of the acquisition of
the
securities, the holder had no agreements or understandings, directly
or
indirectly, with any person to distribute the securities or any underlying
warrant shares.
|
|
(25)
|
Includes
up to 1,201,923 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 23,339 shares of common stock issuable upon conversion of certain
senior convertible debentures that will be registered in this offering,
and up to 2,403,847 shares of common stock issuable upon conversion
of
certain senior convertible debentures that were previously registered
on
April 17, 2007 pursuant to a Registration Statement on Form S-3 (File
No.
333-141581). Heartland Advisors, Inc., a registered investment advisor,
has voting and investment powers for this stockholder. Heartland
Group,
Inc. is an affiliate of a broker-dealer. This stockholder acquired
the
securities in the ordinary course of business, and at the time of
the
acquisition of the securities, the holder had no agreements or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(26)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are Peter J. Abeles and Jonnet
Abeles.
|
|
(27)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Timothy B. Johnson.
|
|
(28)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are Jean F. Bell and Max S. Bell.
|
|
(29)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Ralph A. L. Bogan, Jr.
|
|
(30)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are Kent R. Bourquin and Mary B. Bourquin.
|
|
(31)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Rockney Hudson.
|
|
(32)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Carol Clark Coolidge.
|
|
(33)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Dexter K. Coolidge.
|
|
(34)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(35)
|
Includes
up to 36,058 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 701 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
72,116 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are Katherine B. Dickson and Mark A.
Dickson.
|
|
(36)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is William G. Escamilla.
|
|
(37)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(38)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(39)
|
Includes
up to 36,058 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 701 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
72,116 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Leonard M. Herman.
|
|
(40)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(41)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(42)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Timothy B. Johnson.
|
|
(43)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are T. Michael Johnson and Patricia
Johnson.
|
|
(44)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Deborah W. Patterson.
|
|
(45)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(46)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Susan W. McMillan.
|
|
(47)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(48)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(49)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Seth L. Pierrepont.
|
|
(50)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(51)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Marvin J. Pollack.
|
|
(52)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(53)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control persons with voting and investment powers for
this
stockholder are M. Edward Sellers and Suzan D. Boyd.
|
|
(54)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(55)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(56)
|
Includes
up to 12,020 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 234 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
24,039 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
|
|
(57)
|
Includes
up to 24,039 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 467 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
48,077 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural control person with voting and investment powers for
this
stockholder is Henry J. Underwood.
|
|
(58)
|
Includes
up to 106,250 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stock holder
is
Philip J. Hempleman.
|
|
(59)
|
Includes
up to 20,000 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Philip J. Hempleman.
|
|
(60)
|
Includes
up to 46,915 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Jerome H. Debs, II.
|
|
(61)
|
Includes
up to 91,619 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Jerome H. Debs, II.
|
|
(62)
|
Includes
up to 619,043 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Jerome H. Debs, II.
|
|
(63)
|
Includes
up to 63,132 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, up
to
480,770 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.11 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, up to
9,336
shares of common stock issuable upon conversion of certain senior
convertible debentures that will be registered in this offering,
and up to
961,539 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural person with voting and investment powers for this stockholder
is Leonard Brecken.
|
|
(64)
|
Includes
up to 63,132 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural person with voting and investment powers for this stockholder
is
Kenneth Pasternak.
|
|
(65)
|
Includes
up to 2,371,154 shares of common stock to be issued upon exercise
of a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 46,042 shares of common stock issuable upon conversion of certain
senior convertible debentures that will be registered in this offering,
and up to 4,742,308 shares of common stock issuable upon conversion
of
certain senior convertible debentures that were previously registered
on
April 17, 2007 pursuant to a Registration Statement on Form S-3 (File
No.
333-141581). The natural person with voting and investment powers
for this
stockholder is John H. Bocock.
|
|
(66)
|
Includes
up to 513,462 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.11 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
up
to 9,971 shares of common stock issuable upon conversion of certain
senior
convertible debentures that will be registered in this offering,
and up to
1,026,923 shares of common stock issuable upon conversion of certain
senior convertible debentures that were previously registered on
April 17,
2007 pursuant to a Registration Statement on Form S-3 (File No.
333-141581). The natural person with voting and investment powers
for this
stockholder is John H. Bocock.
|
|
(67)
|
Includes
up to 757,576 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural control persons with voting and investment powers for this
stockholder are Donald J. Liebentritt, Bert Cohen, Kellie Zell Harper,
Leah Zell Wagner, JoAnn Zell Gillis, Matthew Zell, and Robert M.
Levin.
|
|
(68)
|
Includes
up to 50,506 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, up
to
79,087 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.11 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, up to
1,536
shares of common stock issuable upon conversion of certain senior
convertible debentures that will be registered in this offering,
and up to
158,174 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural persons with voting and investment powers for this stockholder
are Jon D Gruber and J Patterson McBaine.
|
|
(69)
|
Includes
up to 6,314 shares of common stock to be issued upon exercise of
a warrant
at an exercise price of $1.39 per share of common stock and expiring
in
June 2010 that will be registered in this offering, up to 24,039
shares of
common stock to be issued upon exercise of a warrant at an exercise
price
of $1.11 per share of common stock and expiring on February 27, 2010
that
will be registered in this offering, up to 467 shares of common stock
issuable upon conversion of certain senior convertible debentures
that
will be registered in this offering, and up to 48,077 shares of common
stock issuable upon conversion of certain senior convertible debentures
that were previously registered on April 17, 2007 pursuant to a
Registration Statement on Form S-3 (File No. 333-141581).
|
|
(70)
|
Includes
up to 31,566 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, up
to
72,116 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.11 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, up to
1,401
shares of common stock issuable upon conversion of certain senior
convertible debentures that will be registered in this offering,
and up to
144,231 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural person with voting and investment powers for this stockholder
is Jon D Gruber.
|
|
(71)
|
Includes
up to 164,142 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, up
to
305,529 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.11 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, up to
5,933
shares of common stock issuable upon conversion of certain senior
convertible debentures that will be registered in this offering,
and up to
611,058 shares of common stock issuable upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
The natural persons with voting and investment powers for this stockholder
are Jon D Gruber and J Patterson McBaine.
|
|
(72)
|
Includes
up to 757,576 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. Millennium
Management, L.L.C., a Delaware limited liability company, is the
managing
partner of Millennium Partners, L.P., a Cayman Islands exempted limited
partnership, and consequently may be deemed to have voting control
and
investment discretion over securities owned by Millennium Partners,
L.P.
Israel A. Englander is the managing member of Millennium Management,
L.L.C. As a result, Mr. Englander may be deemed to be the beneficial
owner
of any shares deemed to be beneficially owned by Millennium Management,
L.L.C. The foregoing should not be construed in and of itself as
an
admission by either of Millennium Management, L.L.C. or Mr. Englander
as
to beneficial ownership of the shares of the Company’s common stock owned
by Millennium Partners, L.P. Millennium Partners, L.P. is an affiliate
of
a broker-dealer. This stockholder acquired the securities in the
ordinary
course of business, and at the time of the acquisition of the securities,
the holder had no agreements or understandings, directly or indirectly,
with any person to distribute the securities or any underlying warrant
shares.
|
|
(73)
|
Includes
up to 50,505 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, up
to
144,231 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.11 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, and up
to
228,462 shares of common stock issued upon conversion of certain
senior
convertible debentures that were previously registered on April 17,
2007
pursuant to a Registration Statement on Form S-3 (File No. 333-141581).
Lindsay A. Rosenwald, M.D., is the managing member of Otago Partners,
LLC.
Dr. Rosenwald is also the sole shareholder and Chairman of Paramount
BioCapital, Inc., an NASD member broker-dealer, and Paramount BioCapital
Asset Management, Inc., an investment adviser registered with the
Securities and Exchange Commission. This stockholder acquired the
securities in the ordinary course of business, and at the time of
the
acquisition of the securities, the holder had no agreements or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(74)
|
Includes
up to 63,132 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. RHP
Master
Fund, Ltd. is a party to an investment management agreement with
Rock Hill
Investment Management, L.P., a limited partnership of which the general
partner is RHP General Partner, LLC. Pursuant to such agreement,
Rock Hill
Investment Management directs the voting and disposition of shares
owned
by RHP Master Fund. Messrs. Wayne Bloch and Peter Lockhart own all
of the
interests in RHP General Partner. The aforementioned entities and
individuals disclaim beneficial ownership of the Company’s securities
owned by the RHP Master Fund.
|
|
(75)
|
Includes
up to 505,051 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural control persons with voting and investment powers for this
stockholder are Michael A. Roth and Brian J. Stark. SF Capital Partners
Ltd. is an affiliate of a broker-dealer. This stockholder acquired
the
securities in the ordinary course of business, and at the time of
the
acquisition of the securities, the holder had no agreements or
understandings, directly or indirectly, with any person to distribute
the
securities or any underlying warrant shares.
|
|
(76)
|
Includes
up to 917,677 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, and
up to
917,677 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.40 per share of common stock and expiring
in June
2010 that will be registered in this offering. The natural control
person
with voting and investment powers for this stockholder is Daniel
Loeb.
|
|
(77)
|
Includes
up to 114,521 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, and
up to
114,521 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.40 and expiring in June 2010 that will be
registered in this offering. The natural control person with voting
and
investment powers for this stockholder is Daniel Loeb.
|
|
(78)
|
Includes
up to 110,127 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, and
up to
110,127 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.40 share of common stock and expiring in
June 2010
that will be registered in this offering. The natural control person
with
voting and investment powers for this stockholder is Daniel
Loeb.
|
|
(79)
|
Includes
up to 120,304 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering, and
up to
120,304 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.40 per share of common stock and expiring
in June
2010 that will be registered in this offering. The natural control
person
with voting and investment powers for this stockholder is Daniel
Loeb.
|
|
(80)
|
Includes
up to 126,256 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring in June 2010 that will be registered in this offering. The
natural control person with voting and investment powers for this
stockholder is Michael Finkelstein.
|
(81)
|
Includes
up to 252,526 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.39 per share of common stock and
expiring on June 2010 that will be registered in this offering, and
477,409 shares of common stock to be issued upon exercise of a warrant
at
an exercise price of $1.03 per share of common stock and expiring
on
February 27, 2010 that will be registered in this offering, which
were
transferred from Capstone Investments pursuant to a private sale.
Crestview Capital Partners, LLC (“CCP”) is the sole managing member of
Crestview Capital Master, LLC (“CCM”) and may be deemed to have sole
voting and investment power with respect to the securities beneficially
owned by CCM. CCP disclaims beneficial ownership of these securities.
The
Managing Members of CCP are Stewart Flink, Robert Hoyt and Daniel
Warsh,
each of whom may be deemed to have voting and dispositive power over
securities beneficially owned by CCM, and each of whom also disclaims
and
it has been confirmed to us that the securities were acquired to
be resold
in the ordinary course of business and that there are no arrangements
with
any other persons, whether directly or indirectly, to dispose of
the
securities.
|
|
|
(82)
|
Includes
up to 550,000 shares of common stock to be issued upon exercise of
a
warrant at an exercise price of $1.03 per share of common stock and
expiring on February 27, 2010 that will be registered in this offering,
which were transferred from Capstone Investments pursuant to a private
sale. The natural control person with voting and investment powers
for
this stockholder is Sean Molloy.
|
This ‘424B3’ Filing | Date | Other Filings | ||
---|---|---|---|---|
2/27/10 | ||||
3/3/09 | 8-K, DEF 14A | |||
2/28/09 | ||||
11/19/08 | ||||
10/14/08 | ||||
Filed on: | 9/19/08 | |||
8/18/08 | ||||
8/17/08 | ||||
8/8/07 | 424B3 | |||
6/30/07 | 10-Q | |||
4/17/07 | ||||
3/3/06 | ||||
1/30/06 | 8-K | |||
7/1/05 | ||||
List all Filings |