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
Perfumania Holdings, Inc. [ PERF ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 09/19/2013 | ||||||||||||||||||||||||||
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 |
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 | ||||||||
Warrants (right to purchase)(1) | $8 | 09/19/2013 | J(2) | 42,656 | 09/19/2013 | 04/07/2017 | Common Stock | 42,656 | $0 | 303,988 | D(3) | ||||
Warrants (right to purchase)(1) | $8 | 09/19/2013 | J(2) | 42,672 | 09/19/2013 | 04/07/2017 | Common Stock | 42,672 | $0 | 304,004 | D(4) | ||||
Warrants (right to purchase)(1) | $8 | 09/19/2013 | J(2) | 42,672 | 09/19/2013 | 04/07/2017 | Common Stock | 42,672 | $0 | 304,004 | D(5) | ||||
Warrants (right to purchase)(1) | $8 | 09/19/2013 | J(2) | 128,000 | 09/19/2013 | 04/07/2017 | Common Stock | 128,000 | $0 | 911,996 | I | By Premier Trust, Inc. |
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. Each Reporting Person may be deemed to be a member of a Section 13(d) group that owns more than 10% of the Issuer's shares of Common Stock. Each Reporting Person disclaims beneficial ownership of the Shares of Common Stock reported herein except to the extent of its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for the purposes of Section 16 or for any other purpose. |
2. As a result of a termination of a license agreement between the proposed licensee and the Issuer, a warrant to purchase Issuer Common Stock originally assigned by Artistic Brands Development, LLC ("Artistic Brands") to the licensee was returned to Artistic Brands and subsequently transferred by Artistic Brands on a pro rata basis to its members. |
3. These securities are owned directly by the Carolina Marie Garcia Pirez 2012 Dynasty Trust ("CMGP Trust"). As the investment adviser of CMGP Trust, Rene Garcia may be deemed to be the beneficial owner of the securities directly owned by CMGP Trust. As the Trustee of CMGP Trust, Premier Trust may be deemed to be the beneficial owner of the securities directly owned by CMGP Trust. As the Successor Trust Protector of CMGP Trust, Jacqueline Marie Garcia Haley may be deemed to be the beneficial owner of the securities directly owned by CMGP Trust. |
4. These securities are owned directly by the Jacqueline Marie Garcia Haley 2012 Dynasty Trust ("JMGH Trust"). As the investment adviser of JMGH Trust, Rene Garcia may be deemed to be the beneficial owner of the securities directly owned by JMGH Trust. As the Trustee of JMGH Trust, Premier Trust may be deemed to be the beneficial owner of the securities directly held by JMGH Trust. As the Successor Trust Protector of JMGH Trust, Carolina Marie Garcia Pirez may be deemed to be the benefical owner of the securities directly owned by JMGH Trust. |
5. These securities are owned directly by the Victor Garcia 2012 Dynasty Trust ("VG Trust"). As the investment adviser of VG Trust, Rene Garcia may be deemed to be the beneficial owner of the securities directly owned by VG Trust. As the Trustee of VG Trust, Premier Trust may be deemed to be the beneficial owner of the securities directly owned by VG Trust. As the Successor Trust Protector of VG Trust, Ms. Pirez may be deemed to be the beneficial owner of the securities directly owned by VG Trust. |
Rene Garcia, By Mark F. Coldwell, By Power of Attorney | 09/23/2013 | |
Carolina Marie Garcia Pirez 2012 Dynasty Trust, By Mark F. Coldwell, By Power of Attorney | 09/23/2013 | |
Jacqueline Marie Garcia Haley 2012 Dynasty Trust, By Mark F. Coldwell, By Power of Attorney | 09/23/2013 | |
Victor Garcia 2012 Dynasty Trust, By Mark F. Coldwell, By Power of Attorney | 09/23/2013 | |
Premier Trust, Inc., By Mark F. Coldwell, By Power of Attorney | 09/23/2013 | |
** 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. |