FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
HOKU SCIENTIFIC INC [ HOKU ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 02/07/2006 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 02/07/2006 | S | 162 | D | $9.035 | 29,223 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 152 | D | $9.03 | 29,071 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 91 | D | $9.02 | 28,980 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 35 | D | $9.01 | 28,945 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 19,200 | D | $9 | 9,745 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 34 | D | $8.99 | 9,711 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 34 | D | $8.98 | 9,677 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 4,193 | D | $8.97 | 5,484 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 131 | D | $8.96 | 5,353 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 94 | D | $8.95 | 5,259 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 3 | D | $8.91 | 5,256 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 10 | D | $8.88 | 5,246 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 40 | D | $8.87 | 5,206 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 139 | D | $8.85 | 5,067 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 137 | D | $8.84 | 4,930 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 275 | D | $8.83 | 4,655 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 61 | D | $8.82 | 4,594 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 17 | D | $8.81 | 4,577 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 70 | D | $8.8 | 4,507 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 77 | D | $8.79 | 4,430 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 81 | D | $8.78 | 4,349 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 168 | D | $8.77 | 4,181 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 3 | D | $8.74 | 4,178 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 27 | D | $8.73 | 4,151 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 24 | D | $8.72 | 4,127 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 10 | D | $8.71 | 4,117 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 69 | D | $8.69 | 4,048 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/07/2006 | S | 34 | D | $8.68 | 4,014 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/08/2006 | S | 87 | D | $8.85 | 3,927 | I | See footnotes(1)(2)(3) | ||
Common Stock | 02/08/2006 | S | 4 | D | $8.82 | 3,923 | I | See footnotes(1)(2)(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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Explanation of Responses: |
1. Shares owned directly by Lava Ventures, LLC ("LV"). |
2. Watanabe Group is the managing member of Lava Management, the Designated Filer, and LV. Gwendolyn A. Watanabe, the manager of Watanabe Group, and Watanabe Group may be deemed to share voting and investment control over the shares held by LV. |
3. Watanabe Group and Ms. Watanabe disclaim beneficial ownership of the shares held by LV except to the extent of any pecuniary interest therein. |
Remarks: |
Each Reporting Person disclaims beneficial ownership of any securities (except to the extent of such Reporting Person's pecuniary interest in such securities) other than any securities being reported herein as being directly owned by such Reporting Person. This report is the fourth of five reports, each on a separate Form 4, but relating to the same transaction being filed by the Reporting Persons listed on Exhibit 99. |
/s/ Gwendolyn A. Watanabe, as manager of Watanabe Group, LLC, managing member of Lava Management, LLC | 02/09/2006 | |
/s/ Gwendolyn A. Watanabe, as manager of Watanabe Group, LLC | 02/09/2006 | |
/s/ Gwendolyn A. Watanabe | 02/09/2006 | |
/s/ Gwendolyn A. Watanabe, as manager of Watanabe Group, LLC, managing member of Lava Management, LLC, general partner of Lava Ventures VII, LP | 02/09/2006 | |
/s/ Gwendolyn A. Watanabe, as manager of Watanabe Group, LLC, managing member of Lava Management, LLC, manager of Lava Ventures III, LLC | 02/09/2006 | |
/s/ Gwendolyn A. Watanabe, as manager of Watanabe Group, LLC, manager of Lava Ventures, LLC | 02/09/2006 | |
** 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 4 (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. |