1. | NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
|
||
Walter Villiger | |||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) o | |
(b) o | |||
3. |
SEC USE ONLY
|
||
4. |
SOURCE OF FUNDS*
|
||
OO (See Item 4) | |||
5, | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED | o | |
PURSUANT TO ITEMS 2(d) or 2(e)
|
|||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
Switzerland | |||
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH
|
7. | SOLE VOTING POWER 5,143,001 | |
8. | SHARED VOTING POWER 0 | ||
9. | SOLE DISPOSITIVE POWER 5,143,001 | ||
10. | RED DISPOSITIVE POWER 0 | ||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
5,143,001 shares, consisting of:
(a) 1,374,293 shares of common stock held directly by Reporting Person
(b) 1,777,211 shares of common stock held indirectly through Reporting Person’s wholly-owned entity named WAVI Holding AG (“WAVI”)
(c) 214,286 shares of common stock issuable upon exercise of warrants held directly by Reporting Person
(d) 1,777,211 shares of common stock issuable upon exercise of warrants held indirectly through WAVI
The foregoing takes into account 1-for-14 split effectuated by the Issuer on January 29, 2014.
|
|||
12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES o
|
||
13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *
|
||
36.9%
|
|||
14. | TYPE OF REPORTING PERSON* | ||
IN |
1. | NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
|
||
WAVI Holding AG
|
|||
2. | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) o | |
(b) o | |||
3. |
SEC USE ONLY
|
||
4. |
SOURCE OF FUNDS*
|
||
OO (See Item 4) | |||
5, | CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED | o | |
PURSUANT TO ITEMS 2(d) or 2(e)
|
|||
6. | CITIZENSHIP OR PLACE OF ORGANIZATION | ||
Switzerland |
NUMBER OF SHARES
BENEFICIALLY OWNED
BY EACH REPORTING
PERSON WITH
|
7. | SOLE VOTING POWER 3,554,422 | |
8. | SHARED VOTING POWER 0 | ||
9. | SOLE DISPOSITIVE POWER 3,554,422 | ||
10. | RED DISPOSITIVE POWER 0 | ||
11. | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | ||
3,554,422 shares, consisting of:
(a) 1,777,211 shares of common stock held directly by Reporting Person
(b) 1,777,211 shares of common stock issuable upon exercise of warrants held directly by Reporting Person
|
|||
12. |
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES o
|
||
13. |
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) *
|
||
25.9%
|
|||
14. | TYPE OF REPORTING PERSON* | ||
CO |
(1)
|
Incorporated by reference to the Annual Report on Form 10-KSB for fiscal year ended December 31, 2007 filed April 1, 2008
|
(2)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2008 filed March 31, 2009
|
(3)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2008 filed March 31, 2009
|
(4)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2009 filed March 31, 2009
|
(5)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2009 filed March 30, 2010
|
(6)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2010 filed March 28, 2011
|
(7)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2010 filed March 28, 2011
|
(8)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2010 filed March 28, 2011
|
(9)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2011 filed March 29, 2012
|
(10)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2011 filed March 29, 2012
|
(11)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2011 filed March 29, 2012
|
(12)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2012 filed March 29, 2013
|
(13)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2012 filed March 29, 2013
|
(14)
|
Incorporated by reference to the Annual Report on Form 10-K for fiscal year ended December 31, 2012 filed March 29, 2013
|
(15)
|
Incorporated by reference to the Form 8-K filed by the Issuer on December 16, 2013
|
(16)
|
Incorporated by reference to the Form 8-K filed by the Issuer on February 12, 2014
|
(17)
|
Incorporated by reference to the Form 8-K filed by the Issuer on March 25, 2014
|
Dated: March 25th, 2014
|
/s/ Walter Villiger
Walter Villiger
|
Dated: March 25th, 2014
|
WAVI HOLDING AG
By: /s/ Walter Villiger
Name: Walter Villiger
Title: Chairman
|