Filing Details
- Accession Number:
- 0001325533-13-000049
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-01 17:57:59
- Reporting Period:
- 2013-09-27
- Filing Date:
- 2013-10-01
- Accepted Time:
- 2013-10-01 17:57:59
- SEC Url:
- Form 4 Filing
Issuer
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1325533 | Red Oak Partners, Llc | 304 Park Ave South 11Th Fl New York NY 10010 | No | No | Yes | No | |
1423093 | David Sandberg | 304 Park Ave South 11Th Floor New York NY 10010 | Yes | No | No | 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 | 2013-09-27 | 400 | $1.95 | 1,957,182 | No | 4 | P | Indirect | By Pinnacle Opportunities Fund, LP |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Pinnacle Opportunities Fund, LP |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 625,000 | Indirect | By David Sandberg directly |
Footnotes
- Red Oak Partners, LLC ("ROP") serves as the general partner of The Red Oak Fund, LP, a Delaware limited partnership (the "Fund"), the direct owner of the subject securities. David Sandberg is the managing member of ROP and the Fund's portfolio manager.
- ROP serves as a managing member of Pinnacle Partners, LLC, a Colorado limited liability limited company ("Pinnacle Partners"). Pinnacle Partners is the general partner of Pinnacle Opportunities Fund, LP (formerly Pinnacle Fund, LLLP), a Delaware limited partnership ("Pinnacle Fund"), the direct owner of the subject securities.
- Each Reporting Person disclaims beneficial ownership of all securities reported herein, except to the extent of their pecuniary interest therein, if any, and this report shall not be deemed an admission that such Reporting Person is the beneficial owner of the shares for purposes of Section 16 of the Securities and Exchange Act of 1934 or for any other purpose.