FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 10/01/2003 |
3. Issuer Name and Ticker or Trading Symbol
SAFLINK CORP [ SFLK ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock, $.01 par value per share | 5,894,589(1) | D | |
Common Stock, $.01 par value per share | 5,894,589(1) | I | By SDS Management, LLC(2) |
Common Stock, $.01 par value per share | 5,894,589(1) | I | By Mr. Steven Derby(3) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. SDS Merchant Fund, LP assigned and transferred 5,894,589 shares of common stock of the issuer beneficially owned by it to the Reporting Person on October 1, 2003. |
2. SDS Management, LLC is the investment manager of the Reporting Person. The address of SDS Management, LLC is 53 Forest Avenue, 2nd Floor, Old Greenwich, Connecticut 06870. |
3. Mr. Steven Derby is the sole managing member of SDS Management, LLC. The address of Mr. Steven Derby is c/o SDS Management, LLC, 53 Forest Avenue, 2nd Floor, Old Greenwich, Connecticut 06870. |
SDS Capital Group SPC, Ltd. By: SDS Management, LLC its Investment Manager /s/ Steven Derby, Managing Member | 02/09/2004 | |
SDS Management, LLC /s/ Steven Derby, Managing Member | 02/09/2004 | |
/s/ Steven Derby | 02/09/2004 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |