0001140361-14-003538.txt : 20140129 0001140361-14-003538.hdr.sgml : 20140129 20140129131433 ACCESSION NUMBER: 0001140361-14-003538 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140129 DATE AS OF CHANGE: 20140129 GROUP MEMBERS: JFV HOLDINGS, INC. GROUP MEMBERS: JOHN M. FIFE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ULURU Inc. CENTRAL INDEX KEY: 0001168220 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 412118656 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79412 FILM NUMBER: 14556101 BUSINESS ADDRESS: STREET 1: 4452 BELTWAY DRIVE CITY: ADDISON STATE: TX ZIP: 75001 BUSINESS PHONE: 214-905-5145 MAIL ADDRESS: STREET 1: 4452 BELTWAY DRIVE CITY: ADDISON STATE: TX ZIP: 75001 FORMER COMPANY: FORMER CONFORMED NAME: ULURU INC. DATE OF NAME CHANGE: 20060417 FORMER COMPANY: FORMER CONFORMED NAME: OXFORD VENTURES INC DATE OF NAME CHANGE: 20020225 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: INTER MOUNTAIN CAPITAL CORP CENTRAL INDEX KEY: 0001012142 IRS NUMBER: 364075407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 360 E RANDOLPH ST STREET 2: SUITE 2403 CITY: CHICAGO STATE: IL ZIP: 60601 BUSINESS PHONE: 3125651569 MAIL ADDRESS: STREET 1: 360 E RANDOLPH ST STREET 2: SUITE 2403 CITY: CHICAGO STATE: IL ZIP: 60601 SC 13G/A 1 doc1.htm NONE Schedule 13G
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
(Amendment No. 03)*
 
ULURU INC. 
(Name of Issuer)
 
Common Stock, $0.001 par value
(Title of Class of Securities)
 
90403T209
(CUSIP Number)
 
January 29, 2014
(Date of Event Which Requires Filing of this Statement)
 
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
     o  Rule 13d-1(b)
 
     x  Rule 13d-1(c)
 
     o  Rule 13d-1(d)
 
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
 
The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
 
 
 
 
 
CUSIP No.  90403T209      
 
      
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 INTER MOUNTAIN CAPITAL CORP
36-4075407
   
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 (a)   o
 (b)   o
   
3 SEC USE ONLY
  
  
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
  
 Delaware
    
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER
  
 920,400*
   
6 SHARED VOTING POWER
  
 
   
7 SOLE DISPOSITIVE POWER
  
 920,400*
   
8 SHARED DISPOSITIVE POWER
  
 
   
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
 920,400*
   
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
  
 o
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
  
 4.99*%
   
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
  
 CO
 

FOOTNOTES
  
 * On the date of the event which requires filing of this Schedule 13G, reporting person Inter-Mountain Capital Corp. (“IMCC”) had rights to convert the outstanding balance of a certain Company Note dated June 27, 2012 (the “Note”) into shares of the Issuer’s common stock. The exercise of such rights is subject to an ownership Cap. But for the Cap, the full exercise of such rights would have resulted in Inter-Mountain Capital Corp. having beneficial ownership of Common Stock in excess of the Cap. IMCC’s current ownership Cap is 4.99% of the Issuers outstanding shares. Thus, the number of shares of the Issuer’s common stock beneficially owned by IMCC as of the date of this filing was 920,400 shares, which is 4.99% of the 18,444,893 shares that were outstanding on that date (as reported in the Issuer’s Form 10-Q filed on November 19, 2013).
 
 
 
 
CUSIP No.  90403T209      
 
      
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 JFV Holdings, Inc.
36-4426825
   
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 (a)   o
 (b)   o
   
3 SEC USE ONLY
  
  
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
  
 Illinois
    
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER
  
 920,400*
   
6 SHARED VOTING POWER
  
 
   
7 SOLE DISPOSITIVE POWER
  
 920,400*
   
8 SHARED DISPOSITIVE POWER
  
 
   
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
 920,400*
   
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
  
 o
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
  
 4.99*%
   
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
  
 CO
 

FOOTNOTES
  
 * Reporting person JFV Holdings, Inc. is the sole shareholder of reporting person IMCC. On the date of the event which requires filing of this Schedule 13G, reporting person IMCC had rights to convert the outstanding balance of a certain Company Note dated June 27, 2012 (the “Note”) into shares of the Issuer’s common stock. The exercise of such rights is subject to an ownership Cap. But for the Cap, the full exercise of such rights would have resulted in Inter-Mountain Capital Corp. having beneficial ownership of Common Stock in excess of the Cap. IMCC’s current ownership Cap is 4.99% of the Issuers outstanding shares. Thus, the number of shares of the Issuer’s common stock beneficially owned by IMCC as of the date of this filing was 920,400 shares, which is 4.99% of the 18,444,893 shares that were outstanding on that date (as reported in the Issuer’s Form 10-Q filed on November 19, 2013).
 
 
 
 
CUSIP No.  90403T209      
 
      
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
 John M. Fife
   
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

 (a)   o
 (b)   o
   
3 SEC USE ONLY
  
  
   
4 CITIZENSHIP OR PLACE OF ORGANIZATION
  
 United States of America
    
NUMBER OF SHARES BENEFICIALLY  OWNED BY EACH REPORTING PERSON WITH: 5 SOLE VOTING POWER
  
 920,400*
   
6 SHARED VOTING POWER
  
 
   
7 SOLE DISPOSITIVE POWER
  
 920,400*
   
8 SHARED DISPOSITIVE POWER
  
 
   
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
  
 920,400*
   
10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
  
 o
   
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
  
 4.99*%
   
12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
  
 IN
 

FOOTNOTES
  
 * Reporting person John M. Fife is the sole shareholder of reporting person JFV Holdings, Inc., which is the sole shareholder of reporting person Inter-Mountain Capital Corp. On the date of the event which requires filing of this Schedule 13G, reporting person IMCC had rights to convert the outstanding balance of a certain Company Note dated June 27, 2012 (the “Note”) into shares of the Issuer’s common stock. The exercise of such rights is subject to an ownership Cap. But for the Cap, the full exercise of such rights would have resulted in Inter-Mountain Capital Corp. having beneficial ownership of Common Stock in excess of the Cap. IMCC’s current ownership Cap is 4.99% of the Issuers outstanding shares. Thus, the number of shares of the Issuer’s common stock beneficially owned by IMCC as of the date of this filing was 920,400 shares, which is 4.99% of the 18,444,893 shares that were outstanding on that date (as reported in the Issuer’s Form 10-Q filed on November 19, 2013).
 
 
 
 
Item 1.

 
(a)
Name of Issuer
 
 
ULURU Inc.

 
(b)
Address of Issuer’s Principal Executive Offices
 
 
4452 Beltway Drive
Addison, Texas 75001

Item 2.

 
(a)
Name of Person Filing
 
 
This report is filed by Inter-Mountain Capital Corp., JFV Holdings, Inc., and John M. Fife with respect to the shares of Common Stock, $0.001 par value per share, of the Issuer that are directly beneficially owned by Inter-Mountain Capital Corp. and indirectly beneficially owned by the other reporting and filing person (the “Shares”).

 
(b)
Address of Principal Business Office or, if none, Residence
 
 
The address of the principal business office of each reporting and filing person is:
303 East Wacker Drive, Suite 1200
Chicago, IL 60601

 
(c)
Citizenship
 
 
Inter-Mountain Capital Corp. is a Delaware corporation
JFV Holdings, Inc. is an Illinois corporation
John M. Fife is a United States citizen.

 
(d)
Title of Class of Securities
 
 
Common Stock, $0.001 par value per share.

 
(e)
CUSIP Number
 
 
90403T209

 
Item 3.
If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 
(a)
o
Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 
(j)
o
A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J).

 
(k)
o
A group, in accordance with § 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J), please specify the type of institution:

 
 
 
 
 
Item 4.
Ownership.
 
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 
(a)
Amount beneficially owned: 920,400

 
(b)
Percent of class: 4.99

 
(c)
Number of shares as to which the person has:

 
(i)
Sole power to vote or to direct the vote: 920,400

 
(ii)
Shared power to vote or to direct the vote: 0

 
(iii)
Sole power to dispose or to direct the disposition of: 920,400

 
(iv)
Shared power to dispose or to direct the disposition of: 0

Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x .
 
 
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
N/A
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
 
N/A
 
Item 8.
Identification and Classification of Members of the Group
 
N/A
 
Item 9.
Notice of Dissolution of Group
 
N/A
 
 
 
 
 
 
Item 10.
Certification
  
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
 

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
 
 
 INTER-MOUNTAIN CAPITAL CORP.
 
    
Date: January 29, 2014
By:
/s/  John M Fife 
   Name: John M Fife 
   Title:  President 
    
 
 
 
 JFV HOLDINGS, INC.
 
    
Date: January 29, 2014
By:
/s/  John M Fife 
   Name: John M Fife 
   Title:  President 
    
 
 
 
  
    
Date: January 29, 2014
By:
/s/  John M Fife 
   Name: John M Fife 
   Title:   
    
 
Footnotes:

Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)