Page 2 of 6 SEC Filing CUSIP No. 148435100 13D/A Page 2 of 6 Pages
1 Names of Reporting Persons
Phillip Frost, M.D.
2 Check The Appropriate Box if a Member of a Group (see instructions) (a) ¨ (b) ¨ 3 SEC Use Only
4 Source of Funds
(see instructions)
OO
5 Check
if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)
¨
6 Citizenship or Place
of Organization
United States of America
Number
of
Shares
Beneficially
Owned
by
Each
Reporting
Person With
7 Sole Voting Power
819,776 (1)
8 Shared Voting Power
53,093,886 (2)(3)
9 Sole Dispositive Power
819,776 (1)
10 Shared Dispositive Power
53,093,886 (2)(3)
11 Aggregate Amount Beneficially
Owned by Each Reporting Person
53,913,662 (1)(2)(3)
12 Check
if the Aggregate Amount in Row (11) Excludes Certain Shares (see instructions)
¨
13 Percent of Class Represented
by Amount in Row 11
33.6% (4)
14 Type of Reporting Person
(see instructions)
IN
(1) Includes vested options (including options that will be exercisable within 60 days of the date hereof) to purchase 40,000 Common
Shares (as defined herein).
(2) Includes (i) 43,167,540 Common Shares held by the Gamma
Trust (as defined herein) and (ii) 555,556 Common Shares issuable upon conversion of $500,000 aggregate principal amount of the
Convertible Note (as defined herein) held by the Gamma Trust. Does not include Common Shares issuable upon the conversion of accrued
but unpaid interest on the Convertible Note, which is payable in cash on a quarterly basis; the Convertible Note and accrued but
unpaid interest thereon is convertible into Common Shares in whole or in part from time to time at the option of the holder.
(3) Includes 9,370,790 Common Shares held by the Nevada Trust
(as defined herein).
(4) The calculation of the percentage is based on (i) 160,034,464Common
Shares outstanding as of February 8, 2016, as reported on the 10-Q filed on February 9, 2016, (ii) 40,000 Common Shares to be issued
upon the exercise of vested options (including options that will be exercisable within 60 days of the date hereof) held by the
Reporting Person and (iii) 555,556 Common Shares issuable upon conversion of $500,000 aggregate principal amount of the Convertible
Note held by the Gamma Trust.
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| CUSIP No. 148435100 | 13D/A | Page 2 of 6 Pages |
| 1 | Names of Reporting Persons Phillip Frost, M.D. | |||
| 2 | Check The Appropriate Box if a Member of a Group | |||
| (see instructions) | (a) ¨ | |||
| (b) ¨ | ||||
| 3 | SEC Use Only | |||
| 4 | Source of Funds OO | |||
| 5 | Check ¨ | |||
| 6 | Citizenship or Place United States of America | |||
|
Number Shares Beneficially Owned Each Reporting Person With | 7 | Sole Voting Power 819,776 (1) | ||
| 8 | Shared Voting Power 53,093,886 (2)(3) | |||
| 9 | Sole Dispositive Power 819,776 (1) | |||
| 10 | Shared Dispositive Power 53,093,886 (2)(3) | |||
| 11 | Aggregate Amount Beneficially 53,913,662 (1)(2)(3) | |||
| 12 | Check ¨ | |||
| 13 | Percent of Class Represented 33.6% (4) | |||
| 14 | Type of Reporting Person IN | |||
(1) Includes vested options (including options that will be exercisable within 60 days of the date hereof) to purchase 40,000 Common
Shares (as defined herein).
(2) Includes (i) 43,167,540 Common Shares held by the Gamma
Trust (as defined herein) and (ii) 555,556 Common Shares issuable upon conversion of $500,000 aggregate principal amount of the
Convertible Note (as defined herein) held by the Gamma Trust. Does not include Common Shares issuable upon the conversion of accrued
but unpaid interest on the Convertible Note, which is payable in cash on a quarterly basis; the Convertible Note and accrued but
unpaid interest thereon is convertible into Common Shares in whole or in part from time to time at the option of the holder.
(3) Includes 9,370,790 Common Shares held by the Nevada Trust
(as defined herein).
(4) The calculation of the percentage is based on (i) 160,034,464Common
Shares outstanding as of February 8, 2016, as reported on the 10-Q filed on February 9, 2016, (ii) 40,000 Common Shares to be issued
upon the exercise of vested options (including options that will be exercisable within 60 days of the date hereof) held by the
Reporting Person and (iii) 555,556 Common Shares issuable upon conversion of $500,000 aggregate principal amount of the Convertible
Note held by the Gamma Trust.
