|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Lucero Lisa 2811 CAHUENGA BOULEVARD WEST LOS ANGELES, CA 90068 |
See Remarks |
/s/ Lisa Higgins-Lucero | 11/06/2013 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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 is being filed solely to clarify that shares of restricted common stock ("Shares") granted to Reporting Person on January 3, 2012, included certain performance based vesting conditions applicable to 50,000 Shares. Vesting information was inadvertently omitted from Reporting Person's Form 4, as previously filed and amended. |
(2) | Grant of Shares pursuant to Issuer's 2011 Equity Incentive Plan. Of such Shares, one-half were immediately vested upon grant and one-half were subject to performace based vesting conditions in the discretion of Issuer's Chief Executive Officer, subject to approval of the board of directors. |
(3) | The aggregate number of Shares granted to and owned by the Reporting Person has been adjusted for Issuer's 1-for-5 reverse stock split effective April 12, 2013. |
Remarks: Reporting Person is secretary of Issuer and its principal financial officer. She is also chief financial officer of Issuer's wholly owned subsidiary, Twistbox Entertainment, Inc. |