1
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NAME OF REPORTING PERSON
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Norman H. Pessin
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2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
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(a)
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☑
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||
(b)
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☐
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||||
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||||
3
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SEC USE ONLY
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||
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||||
4
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SOURCE OF FUNDS
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PF
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|||
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||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
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☐
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||
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||||
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6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
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||
United States
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|||
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||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
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0
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|||
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||||
8
|
SHARED VOTING POWER
|
|
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||
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|||
|
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||||
9
|
SOLE DISPOSITIVE POWER
|
|
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||
0
|
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|||
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||||
10
|
SHARED DISPOSITIVE POWER
|
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||
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|||
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||||
11
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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0
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|||
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||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
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|
☐
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||
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||||
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|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
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||
1) 0
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|||
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||||
14
|
TYPE OF REPORTING PERSON*
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||
IN
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|||
|
|
1
|
NAME OF REPORTING PERSON
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|
||
Sandra F. Pessin
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|
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|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
|
☑
|
||
(b)
|
☐
|
||||
|
|
||||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
SOURCE OF FUNDS
|
|
|
||
PF
|
|
|
|||
|
|
||||
5
|
CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)
|
|
☐
|
||
|
|
||||
|
|
||||
6
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
7
|
SOLE VOTING POWER
|
|
|
|
0
|
|
|
|||
|
|
||||
8
|
SHARED VOTING POWER
|
|
|
||
|
|
|
|||
|
|
||||
9
|
SOLE DISPOSITIVE POWER
|
|
|
||
0
|
|
|
|||
|
|
||||
10
|
SHARED DISPOSITIVE POWER
|
|
|
||
|
|
|
|||
|
|
||||
11
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
0
|
|
|
|||
|
|
||||
12
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
|
|
☐
|
||
|
|
||||
|
|
||||
13
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
|
|
|
||
0%
|
|
|
|||
|
|
||||
14
|
TYPE OF REPORTING PERSON*
|
|
|
||
IN
|
|
|
|||
|
|
Item 1. | Security and Issuer |
Item 2. | Identity and Background |
Name and Address:
|
1)
|
Norman H. Pessin
|
366 Madison Avenue, 14th Floor
|
||
New York, NY 10017
|
||
2)
|
Sandra F. Pessin
|
|
366 Madison Avenue, 14th Floor
|
||
New York, NY 10017
|
||
Principal Occupation:
|
1)
|
Investor
|
2)
|
Housewife
|
|
Criminal Convictions:
|
1)
|
None
|
2)
|
None
|
|
Civil Proceedings:
|
1)
|
None
|
2)
|
None
|
|
Citizenship:
|
1)
|
United States
|
2)
|
United States
|
Item 3. | Source and Amount of Funds or Other Consideration |
Item 4. | Purpose of Transaction |
Item 5. | Interest in Securities of the Issuer |
Item 6. | Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer |
Item 7. | Material to Be Filed as Exhibits |
/s/ Norman H. Pessin | |||
Norman H. Pessin
|
|||
/s/ Sandra F. Pessin | |||
Sandra F. Pessin
|
|||
August 23, 2016
|
Shares of Common
Stock Sold
|
Price Per
Share ($)
|
Date of
Sale
|
Norman H. Pessin
|
||
73,090
|
0.61
|
7/27/16
|
86,500
|
0.66
|
7/28/16
|
150,000
|
0.71
|
7/29/16
|
74,937
|
0.70
|
7/29/16
|