Filing Details
- Accession Number:
- 0001206774-12-004238
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2012-10-19 13:53:04
- Reporting Period:
- 2012-10-17
- Filing Date:
- 2012-10-19
- Accepted Time:
- 2012-10-19 13:53:04
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1166220 | Lyris Inc. | LYRI.OB | Services-Prepackaged Software (7372) | 010579490 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1211531 | Iii T William Comfort | 127-131 Sloane St. 4Th Floor Liscartan House London X0 SW1X9AS | Yes | No | Yes | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2012-10-17 | 96,459 | $2.05 | 1,171,206 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Series A Convertible Preferred Stock | Acquisiton | 2012-10-17 | 2,000,000 | $2.50 | 2,000,000 | $2.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
2,000,000 | 2012-10-17 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,497,435 | Indirect | See Footnote |
Common Stock | 2,830,208 | Indirect | See Footnote |
Footnotes
- Shares issued in satisfaction of $197,741 in interest that the Company owed to Mr. Comfort under that certain Reimbursement and Security Agreement dated as of August 31, 2011 by and between the Company and Mr. Comfort as amended from time to time with respect to Mr. Comfort's guarantee of a loan to the Issuer.
- Shares are held by 65 BR Trust, for which Mr. Comfort is the investment adviser and has voting and dispositive power over the shares. Mr. Comfort disclaims beneficial ownership of any of the shares of common stock held by 65 BR Trust.
- Mr. Comfort is the general partner of, and has shared voting and dispositive power over, these shares held by LDN Stuyvie Partnership.
- The Series A Convertible Preferred Stock has no expiration date.
- Preferred shares are held by Lyr, Ltd., a Bermuda corporation of which Mr. Comfort is the Chairman and has voting and dispositive power over the shares. Mr. Comfort disclaims beneficial ownership of any of the shares of the Issuer's Preferred Stock held by Lyr, Ltd.