UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF 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 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Series A Convertible Preferred Stock | Â (1) | Â (1) | Common Stock | 3,810,669 | $ (1) | I (2) | By WestView Capital Partners, L.P. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Turner John H. C/O WESTVIEW CAPITAL PARTNERS 125 HIGH STREET, 26TH FLOOR BOSTON, MA 02110 |
 X |  X |  | See Footnote (2) below |
/s/ John H. Turner | 11/04/2010 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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) | The Series A Convertible Preferred Stock is convertible into the Issuer's common stock on an one-for-one basis and has no expiration date. |
(2) | The Form 3 filed on October 14, 2010, inadvertently listed Mr. Turner's form of ownership as direct rather than indirect in column 5. Column 5 of Table II has been amended accordingly. Mr. Turner is a director of the Issuer and has been authorized by the managers of WVCP Management, LLC, or WVCP, which is the General Partner of WestView Capital Management, L.P., which is the General Partner of WestView Capital Partners, L.P., to act on behalf of WVCP in connection with the investment by WestView Capital Partners, L.P. in the Issuer. As a result, Mr. Turner may be deemed to share voting and investment power with respect to the shares held by WestView Capital Partners, L.P. Mr. Turner disclaims beneficial ownership of such shares, except to the extent of his pecuniary interest therein. |