- Amended Statement of Changes in Beneficial Ownership (4/A)
2010年3月11日 - 4:27AM
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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3235-0287
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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
*
UPPALURI SUBBARAO V
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2. Issuer Name
and
Ticker or Trading Symbol
Winston Pharmaceuticals, Inc.
[
WPHM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
_____ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O WINSTON PHARMACEUTICALS, INC., 100 N. FAIRWAY DRIVE, SUITE 134
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/24/2009
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(Street)
VERNON HILLS, IL 60061
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
9/28/2009
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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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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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Series A Convertible Preferred Stock
(1)
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$0.00
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9/24/2009
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C
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127
(1)
(2)
(3)
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(1)
(2)
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(1)
(2)
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Common Stock
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127000
(1)
(2)
(3)
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$0
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0
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D
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Explanation of Responses:
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(
1)
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This Form 4 is being filed to amend a line of transaction information appearing on a previously-filed Form 4, which was previously filed on September 28, 2009, in which (i) column 5 of Table II inadvertently and erroneously indicated that Mr. Uppaluri had disposed of 229 shares of Series A Convertible Preferred Stock and (ii) column 7 of Table II inadvertently and erroneously indicated 229,000 shares of Common Stock (as defined below) underlying such Series A Convertible Preferred Stock. This Form 4 amends such line of transaction information as follows: (i) column 5 of Table II has been amended to indicate that Mr. Uppaluri disposed of 127 shares of Series A Convertible Preferred Stock; and (ii) column 7 of Table II has been amended to indicate 127,000 shares of Common Stock (as defined below) underlying such Series A Convertible Preferred Stock.
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(
2)
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Effective September 24, 2009, each outstanding share of Winston Pharmaceuticals, Inc. (the "Company") Series A Convertible Preferred Stock, par value $0.001 per share ("Series A Preferred Stock"), automatically converted into 1,000 shares of the Company's common stock, par value $0.001 per share ("Common Stock").
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(
3)
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Reported amounts reflect share ownership subsequent to the effectuation by the Company on December 15, 2008 (the "Reverse Split Date") of a 1-for-8 reverse stock split whereby each eight shares of the Company's common stock and preferred stock either issued and outstanding or held as treasury shares immediately prior to the Reverse Split Date were automatically reduced and continued as one share of the Company's common stock or preferred stock, as applicable. All of the Company's outstanding securities were adjusted accordingly to reflect such reverse split.
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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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UPPALURI SUBBARAO V
C/O WINSTON PHARMACEUTICALS, INC.
100 N. FAIRWAY DRIVE, SUITE 134
VERNON HILLS, IL 60061
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X
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Signatures
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/s/ Uppaluri, Subbarao V.
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3/10/2010
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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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