- Statement of Changes in Beneficial Ownership (4)
2009年12月25日 - 1:43AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Hancock John Michael
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2. Issuer Name
and
Ticker or Trading Symbol
FNDS3000 Corp
[
FDTC
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Executive Officer
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(Last)
(First)
(Middle)
1417 GARMON FERRY ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
11/30/2009
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(Street)
ATLANTA, GA 30327
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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11/30/2009
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P
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342857
(1)
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A
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$0.175
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605714
(2)
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Warrant to purchase Common Stock
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$0.175
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11/30/2009
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P
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342857
(1)
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11/30/2009
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11/30/2011
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Common Stock
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342857
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$0
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2605714
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D
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Warrant to purchase Common Stock
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$0.20
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7/1/2009
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P
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262857
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7/1/2009
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7/1/2011
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Common Stock
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262857
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$0
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2262857
(2)
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D
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Stock Options to purchase Common Stock
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$0.29
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6/29/2009
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A
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2000000
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6/29/2009
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6/29/2014
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Common Stock
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2000000
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$0
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2000000
(2)
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D
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Explanation of Responses:
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(
1)
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On November 30, 2009, in connection with a private placement conducted by the Company, Mr. Hancock purchased 342,857 shares of restricted common stock and 342,857 warrants to purchase common stock at an exercise price of $0.175 per share from the Company. The aggregate purchase price paid by Mr. Hancock was $60,000.
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(
2)
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To summarize the cumulative number of non-derivative and derivative securities beneficially owned, the prior transactions are listed: On July 1, 2009, in connection with a private placement conducted by the Company, Mr. Hancock purchased 262,857 shares of restricted common stock and 262,857 warrants to purchase common stock at an exercise price of $0.20 per share from the Company. The aggregate purchase price paid by Mr. Hancock was $46,000. On June 29, 2009, the Compensation Committee of the Company approved the 2009 Incentive Stock Plan (the "Plan"). On June 29, 2009, Mr. Hancock was granted stock options under the Plan to purchase 2,000,000 shares of common stock at an exercise price of $0.26 per share. The stock options were fully vested on grant date.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Hancock John Michael
1417 GARMON FERRY ROAD
ATLANTA, GA 30327
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X
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Chief Executive Officer
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Signatures
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John Michael Hancock
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12/24/2009
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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FNDS 3000 (CE) (USOTC:FDTC)
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から 11 2024 まで 12 2024
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から 12 2023 まで 12 2024
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