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As Of Filer Filing For·On·As Docs:Size Issuer Agent 2/08/10 Vbi Vaccines Inc. SC 13G 2:123K American Mold Guard Inc Summit Fin’l Printing |
Document/Exhibit Description Pages Size 1: SC 13G Paulson Capital Corp Sc13G 2-7-2010 HTML 65K 2: EX-1 Underwriting Agreement HTML 12K
CUSIP
No.
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
||||
PAULSON
CAPITAL CORP
|
|||||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
|
||||
(a)
o
|
|||||
(b)
x
|
|||||
3
|
SEC
USE ONLY
|
||||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
|
||||
United
States of America
|
|||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH:
|
5
|
SOLE
VOTING POWER
|
|||
0
|
|||||
6
|
SHARED
VOTING POWER
|
||||
666,000
|
|||||
7
|
SOLE
DISPOSITIVE POWER
|
||||
0
|
|||||
8
|
SHARED
DISPOSITIVE POWER
|
||||
666,000
|
|||||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
||||
666,000
|
|||||
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS)
|
||||
o
|
|||||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
||||
12.5126%
|
|||||
12
|
TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
|
||||
BD
CO
|
FOOTNOTES
|
|||||
Paulson
Capital Corp. ("PLCC") wholly owns Paulson Investment Company, Inc.
("PICI"). PLCC is a corporation and PICI is a
broker-dealer.
|
CUSIP
No.
|
1
|
NAMES
OF REPORTING PERSONS
I.R.S.
IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
|
||||
Chester
L.F. Paulson and Jacqueline M. Paulson as Joint Tenants
|
|||||
2
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
|
||||
(a)
o
|
|||||
(b)
x
|
|||||
3
|
SEC
USE ONLY
|
||||
4
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
|
||||
United
States of America
|
|||||
NUMBER
OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON
WITH:
|
5
|
SOLE
VOTING POWER
|
|||
0
|
|||||
6
|
SHARED
VOTING POWER
|
||||
786,000
|
|||||
7
|
SOLE
DISPOSITIVE POWER
|
||||
0
|
|||||
8
|
SHARED
DISPOSITIVE POWER
|
||||
786,000
|
|||||
9
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
||||
786,000
|
|||||
10
|
CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS)
|
||||
o
|
|||||
11
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
||||
14.5485%
|
|||||
12
|
TYPE
OF REPORTING PERSON (SEE INSTRUCTIONS)
|
||||
IN
|
FOOTNOTES
|
|||||
Chester
L.F. and Jacqueline M. Paulson (together the "Paulsons") may be deemed to
control Paulson Capital Corp. ("PLCC"), which wholly owns Paulson
Investment Company, Inc. ("PICI"). The Paulsons control and are the
managing partners of the Paulson Family LLC ("LLC") which is a controlling
shareholder of PLCC, which is the parent company for
PICI.
|
Item
3.
|
If
this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c),
check whether the person filing is
a:
|
|
(d)
o
|
Investment
company registered under section 8 of the Investment Company Act of 1940
(15 U.S.C 80a-8).
|
|
(h)
o
|
A
savings associations as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813);
|
|
(i)
o
|
A
church plan that is excluded from the definition of an investment company
under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C.
80a-3);
|
|
(a)
|
Amount
beneficially owned: The
Paulsons may be deemed to be the beneficial owners of a total of 786,000
shares of Issuer Common Stock. The precise owners of these shares is
described more specifically in this paragraph. The Paulsons may be
deemed to control Paulson Capital Corp. ("PLCC"), which wholly owns
Paulson Investment Company, Inc. ("PICI"). The Paulsons control and
are the managing partners of the Paulson Family LLC ("LLC"). Through
the LLC, the Paulsons indirectly own 40,000 shares of Issuer Common Stock
and warrants exercisable into 80,000 shares of Issuer Common Stock.
The Paulsons collectively own 0 shares of Issuer Common Stock.
Chester Paulson directly owns 0 shares of Issuer Common Stock.
Jacqueline M. Paulson directly owns 0 shares of Issuer Common Stock.
The Paulsons may be deemed to indirectly own 0 shares of Issuer Common
Stock and Underwriter Warrants exercisable into 666,000 shares of Issuer
Common Stock through PICI. PLCC directly owns 0 shares of Issuer
Common Stock. Pursuant to SEC Rule 13d-4, the Paulsons expressly
disclaim beneficial ownership of the Underwriter Warrants exercisable into
666,000 shares of Issuer Common Stock of which PICI is record
owner.
|
|
(b)
|
Percent
of class: As of May 20, 2008, the Issuer had 4,656,623 shares of Issuer
Common Stock issued and outstanding, as reported in their 10-QSB filed May
22, 2008 (the "Issuer Outstanding Shares"). The Paulsons actual and deemed
beneficial ownership of Issuer Common Stock represented approximately
14.5485% of the Issuer Outstanding Shares. PLCC's indirect beneficial
ownership of Issuer Common Stock represented approximately 12.5126% of the
Issuer Outstanding Shares.
|
|
(i)
|
Sole
power to vote or to direct the vote: The
Paulsons have sole power to vote or direct the vote of 0 shares.
PLCC has sole power to vote or direct the vote of 0
shares.
|
|
(ii)
|
Shared
power to vote or to direct the vote: The Paulsons
have shared power to vote or direct the vote of 786,000
shares. PLCC has shared power to vote or direct the vote of
666,000 shares.
|
|
(iii)
|
Sole
power to dispose or to direct the disposition
of: The Paulsons have sole power to dispose or
direct the disposition of 0 shares. PLCC has sole power to
dispose or direct the disposition of 0
shares.
|
|
(iv)
|
Shared
power to dispose or to direct the disposition
of: The Paulsons have shared power to dispose or
direct the disposition of 786,000 shares. PLCC has shared power
to dispose or direct the disposition of 666,000
shares.
|
Item
7.
|
Identification
and Classification of the Subsidiary Which Acquired the Security Being
Reported on By the Parent Holding
Company
|
Date:
February 07, 2010
|
By:
|
/s/
Chester L.F. Paulson
|
Name:
Chester L.F. Paulson
|
||
Title:
Individually
|
Date:
February 07, 2010
|
By:
|
/s/
Jacqueline M. Paulson
|
Name:
Jacqueline M. Paulson
|
||
Title:
Individually
|
Date:
February 07, 2010
|
By:
|
/s/
Chester L.F. Paulson
|
Name:
Paulson Capital Corp.
|
||
Title:
Chairman of the Board
|
This ‘SC 13G’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 2/8/10 | SC 13G | ||
2/7/10 | ||||
5/22/08 | 10QSB | |||
5/20/08 | ||||
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