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As Of Filer Filing For·On·As Docs:Size Issuer Agent 5/06/10 Vbi Vaccines Inc. SC 13G 2:111K Vaughan Foods Inc Summit Fin’l Printing Chester L.F. Paulson and Jacqueline M. Paulson as Joint Tena |
Document/Exhibit Description Pages Size 1: SC 13G Paulson Capital Corp SC 13G 3-19-2010 HTML 48K 2: EX-1 Underwriting Agreement HTML 18K
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
573,825
|
|
7 |
SOLE DISPOSITIVE POWER
0
|
|
8
|
SHARED DISPOSITIVE POWER
573,825
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
573,825
|
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)
5.7645%
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
BD CO
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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
573,825
|
|
7 |
SOLE DISPOSITIVE POWER
0
|
|
8 |
SHARED DISPOSITIVE POWER
573,825
|
9 |
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
573,825
|
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)
5.7645%
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
|
(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);
|
(a)
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Amount beneficially owned: The Paulsons may be deemed to be the beneficial owners of a total of 573,825 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 0 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 573,825
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 573,825 shares of Issuer Common Stock of which PICI is record owner.
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(b)
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Percent of class: As of March 12, 2010, the Issuer had 9,380,577 shares of Issuer Common Stock issued and outstanding, as reported in their 10-K filed March 19, 2010 (the "Issuer Outstanding Shares"). The Paulsons actual and deemed beneficial ownership of Issuer Common Stock represented approximately 5.7645% of the Issuer Outstanding Shares. PLCC's indirect beneficial ownership of Issuer Common Stock represented approximately 5.76457% of the Issuer Outstanding Shares.
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(i)
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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 thevote of 0 shares.
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(ii)
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Shared power to vote or to direct the vote: The Paulsons have shared power to vote or direct the vote of 573,825 shares. PLCC has shared power to vote or direct the vote of 573,825 shares.
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(iii)
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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.
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(iv)
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Shared power to dispose or to direct the disposition of: The Paulsons have shared power to dispose or direct the disposition of 573,825 shares. PLCC has shared power to dispose or direct the disposition of 573,825 shares.
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Date: May 5, 2010
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By:
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/s/ Chester L.F. Paulson | |
Name:
|
Chester L.F. Paulson | ||
Title:
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Individually |
Date: May 5, 2010
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By:
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/s/ Jacqueline M. Paulson | |
Name:
|
Jacqueline M. Paulson | ||
Title:
|
Individually |
Date: May 5, 2010
|
By:
|
/s/ Chester L.F. Paulson | |
Name:
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Paulson Capital Corp. | ||
Title: | Chairman of the Board |
This ‘SC 13G’ Filing | Date | Other Filings | ||
---|---|---|---|---|
Filed on: | 5/6/10 | None on these Dates | ||
5/5/10 | ||||
3/19/10 | ||||
3/12/10 | ||||
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