0001213900-14-000656.txt : 20140205 0001213900-14-000656.hdr.sgml : 20140205 20140205113534 ACCESSION NUMBER: 0001213900-14-000656 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20140205 DATE AS OF CHANGE: 20140205 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NaturalNano, Inc. CENTRAL INDEX KEY: 0000863895 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 870646435 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-84238 FILM NUMBER: 14575070 BUSINESS ADDRESS: STREET 1: 15 SCHOEN PLACE CITY: PITTSFORD STATE: NY ZIP: 14534 BUSINESS PHONE: (585) 267-4850 MAIL ADDRESS: STREET 1: 15 SCHOEN PLACE CITY: PITTSFORD STATE: NY ZIP: 14534 FORMER COMPANY: FORMER CONFORMED NAME: NaturalNano , Inc. DATE OF NAME CHANGE: 20060127 FORMER COMPANY: FORMER CONFORMED NAME: NaturalNano Research, Inc DATE OF NAME CHANGE: 20051221 FORMER COMPANY: FORMER CONFORMED NAME: NATURALNANO INC DATE OF NAME CHANGE: 20051208 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALPHA CAPITAL ANSTALT CENTRAL INDEX KEY: 0001140358 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 BUSINESS PHONE: 0114232376363 MAIL ADDRESS: STREET 1: PRADAFAUT 7 STREET 2: FURSTENTUMS 1490 CITY: VADUZ LIECHTENSTEIN STATE: C4 ZIP: 99999 FORMER COMPANY: FORMER CONFORMED NAME: ALPHA CAPITAL AKTIENGESELLSCHAFT DATE OF NAME CHANGE: 20010510 SC 13G 1 sc13g0214alpha_naturalnano.htm SCHEDULE 13G sc13g0214alpha_naturalnano.htm


UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13G

UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. __)
 
NATURALNANO, INC.

(Name of Issuer)

COMMON STOCK, PAR VALUE $0.001 PER SHARE

(Title of Class of Securities)
 
63901A105

(CUSIP Number)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed: x Rule 13d-1(c)
 
*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).


(Continued on following page(s)
 
Page 1 of 4 Pages
 
 
 

 
 
CUSIP No. 63901A105   13G   Page 2 of 4 Pages

 1.  NAMES OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

              Alpha Capital Anstalt

2.  CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
                                                                 (a)   o
                                                                 (b)   o

3.  SEC USE ONLY
 
 

4.  CITIZENSHIP OR PLACE OF ORGANIZATION

Liechtenstein

5.  SOLE VOTING POWER, NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON – 45,507,848 Common Stock
 
 

6.  SHARED VOTING POWER - None
 
 

7.  SOLE DISPOSITIVE POWER – 45,507,848 shares of Common Stock

 

8.  SHARED DISPOSITIVE POWER – None
 
 

9.  AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -

45,507,848 shares of Common Stock

10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES     x
 
Does not include the conversion and/or exercise of securities held by Alpha Capital Anstalt (“Alpha”) which contain a contractually stipulated 4.99% ownership restriction.  The full exercise of Alpha’s securities would exceed this restriction.

11.  PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

8.49%

12.  TYPE OF REPORTING PERSON
 
CO
 
 
 

 
 
 
CUSIP No. 63901A105   13G   Page 3 of 4 Pages

ITEM 1 (a) NAME OF ISSUER: NaturalNano, Inc.
 
ITEM 1 (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:

              15 Schoen Place, Pittsford, New York 14534
 
ITEM 2 (a) NAME OF PERSON FILING: Alpha Capital Anstalt

ITEM 2 (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
 
               Pradafant 7, Furstentums 9490, Vaduz, Liechtenstein

ITEM 2 (c) CITIZENSHIP: Liechtenstein

ITEM 2 (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $0.001 per share

ITEM 2 (e) CUSIP NUMBER: 63901A105
 
ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B) OR 13D-2(B):  Not applicable

ITEM 4 OWNERSHIP

         (a) AMOUNT BENEFICIALLY OWNED: 45,507,848 Shares of Common Stock

         (b) PERCENT OF CLASS: 8.49%

         (c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS:

             (i)   SOLE POWER TO VOTE OR DIRECT THE VOTE

                                45,507,848 Shares

             (ii)  SHARED POWER TO VOTE OR DIRECT THE VOTE

                                    0 Shares

             (iii) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

                                45,507,848 Shares

             (iv) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF

                                    0 Shares
 
 
 

 
 
CUSIP No. 63901A105   13G   Page 4 of 4 Pages
 
ITEM 5  OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
 
                                 Not applicable
 
ITEM 6  OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON

                                 Not applicable

ITEM 7  IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY

                                 Not applicable

ITEM 8  IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF A GROUP

                                 Not applicable

ITEM 9  NOTICE OF DISSOLUTION OF GROUP

                                 Not applicable
 
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.
 
 
February 4, 2014
 
  (Date)  
     
  /s/ Konrad Ackerman  
 
(Signature)
 
     
 
Konrad Ackerman, Director
 
 
(Name/Title)