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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 |
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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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option | $ 1.25 | (2) | 04/10/2011 | Common Stock | 50,000 | 50,000 | D | ||||||||
Stock Option | $ 1.75 | (3) | 04/03/2011 | Common Stock | 120,000 | 120,000 | D | ||||||||
Stock Option | $ 2.19 | (4) | 02/27/2013 | Common Stock | 100,000 | 100,000 | D | ||||||||
Stock Option | $ 1.86 | 09/14/2009 | M | 250,000 | (5) | 03/02/2012 | Common Stock | 250,000 | $ 0 | 0 | D | ||||
Stock Option | $ 2.28 | (6) | 08/05/2014 | Common Stock | 50,000 | 50,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
MCNAMARA LARRY W 111 BAYLOR DRIVE OAK RIDGE, TN 37830 |
COO-Resigned effective 9/1/09 |
/s/Larry McNamara | 09/25/2009 | |
**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) | As previously reported on the Form 4 filed on 9/16/09, the amount of securities sold should have been 5,116 instead of 55,116. This Form 4/A is to correct the error on the 9/16/09 Form 4 filing. |
(2) | Non-Qualified Stock Option granted under the Company's 1993 Non-Qualified Stock Plan on 4/10/00. The Option is for a 10 year period and vests over a 5 year period, at 20% increment per year. |
(3) | Non-Qualified Stock Option granted under the Company's 1993 Non-Qualified Stock Plan on 4/03/00. The Option is for a 10 year period and vests over a 5 year period, at 20% increment per year. |
(4) | Non-Qualified Stock Option granted under the Company's 1993 Non-Qualified Stock Plan on 02/27/03. The Option is for a 10 year period and vests over a 5 year period, at 20% increment per year. |
(5) | Incentive Stock Option granted under the Company's 2004 Stock Option Plan on 3/2/06. The Option is for a 6 year period and vests over a 3 year period, at 1/3 increment per year. |
(6) | 150,000 incentive stock option granted under the Company's 2004 Stock Option Plan on 8/5/08. The option is for a 6 year period and vests over a 3 year period, at 1/3 increment per year. Only 50,000 options are vested. 100,000 options forfeited effective September 1, 2009. |