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 | ||||
Warrants (right to buy) | 03/29/2018 | 09/29/2022 | Common Stock | 8,298,755 | $ 1.242 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Puissance Cross-Border Opportunities III LLC 950 THIRD AVENUE 25TH FL NEW YORK, NY 10022 |
 |  X |  |  |
Puissance Capital Fund (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
Puissance Capital Management LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
Puissance Capital Management (GP) LLC 950 THIRD AVENUE 25TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
Wang Theodore T C/O PUISSANCE CAPITAL MANAGEMENT LP 950 THIRD AVENUE, 25TH FLOOR NEW YORK, NY 10022 |
 |  X |  |  |
Theodore T. Wang | 10/02/2017 | |
**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). |
 Remarks: (1)These securities are held directly by Puissance Cross-Border Opportunities III LLC and may be deemed to be beneficially owned by Puissance Capital Management LP, the investment manager of Puissance Cross Border Opportunities III LLC; Puissance Capital Management (GP) LLC, the general partner of Puissance Capital Management LP; Puissance Capital Fund (GP) LLC, the general partner of Puissance Cross Border Opportunities III LLC; and Theodore T. Wang, the managing member of Puissance Capital Management (GP) LLC and Puissance Capital Fund (GP) LLC. The Reporting Persons each disclaim beneficial ownership of the reported securities except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that any Reporting Person is the beneficial owner of the reported securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. (2)This filing to the Initial Statement of Beneficial Ownership of Securities on Form 3, is being filed to correct the mistaken Form F-3 filed on October 5, 2017 by correcting the form type of filing. |