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 | ||||
Common Stock Purchase Warrant (Right to Buy) | 09/13/2012 | 11/29/2013(2) | Common Stock | 800,000 | $ 1.5 | I | By Pioneer Pharma (Singapore) Pte. Ltd. (1) |
Common Stock Purchase Warrant (Right to Buy) | 11/01/2012 | 11/29/2013(2) | Common Stock | 1,200,000 | $ 1.5 | I | By Pioneer Pharma (Singapore) Pte. Ltd. (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Pioneer Pharma (Hong Kong) Co Ltd FLAT 2605, 26/F TRENDY CENTRE, 682 CASTLE PEAK ROAD KOWLOON, K3 00000 |
 |  X |  |  |
Xinzhou Li (Paul Li), Director | 11/27/2013 | |
**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 shares and warrants are held by Pioneer Pharma (Singapore) Pte. Ltd., which is a wholly owned subsidiary of the Reporting Person. |
(2) | The expiration date of the warrant was extended from August 31, 2013 to November 29, 2013 pursuant to a Warrant Amendment Agreement dated May 9, 2013. |