1
|
NAMES OF REPORTING PERSONS
|
|
|
||
Mina Sooch
|
|
|
|||
|
|
||||
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
|
||||
(a)☐
|
|||||
(b)☐
|
|
|
|||
3
|
SEC USE ONLY
|
|
|
||
|
|
|
|||
|
|
||||
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
|
|
|
||
United States of America
|
|
|
|||
|
|
||||
NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
|
|
|
|
1,286,262 (1)
|
|
|
|||
|
|
||||
6
|
SHARED VOTING POWER
|
|
|
||
0 |
|
|
|||
|
|
||||
7
|
SOLE DISPOSITIVE POWER
|
|
|
||
1,286,262 (1)
|
|
|
|||
|
|
||||
8
|
SHARED DISPOSITIVE POWER
|
|
|
||
0 |
|
|
|||
|
|
||||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
|
|
||
1,286,262 (1)
|
|
|
|||
|
|
||||
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
|
|
|
||
☐
|
|
|
|||
|
|
||||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
|
|
|
||
6.7% (See Item 4 herein)
|
|
|
|||
|
|
||||
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
|
|
|
||
IN
|
|
|
|||
|
|
(1) |
Includes (a) 466,759 shares underlying all outstanding stock options; (b) 17,413 shares underlying Series A Warrants, and (c) 2,046 shares underlying Series B Warrants.
|
Item 1. | (a) | Name of Issuer. |
(b)
|
Address of issuer’s principal executive offices.
|
Item 2. |
(a) | Name of person filing (the “Reporting Person”). |
(b)
|
Address or principal business office or, if none, residence.
|
(c)
|
Citizenship.
|
(d)
|
Title of class of securities.
|
(e)
|
CUSIP No.
|
(a) |
☐ | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). |
(b) |
☐ | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). |
(c) |
☐ | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). |
(d) |
☐ | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). |
(e) |
☐ | An investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E). |
(f) |
☐ | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F). |
(g) |
☐ | A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G). |
(h) |
☐ | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). |
(i) |
☐ | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). |
(j) |
☐ | A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J). |
(k) |
☐ | Group, in accordance with §240.13d-1(b)(1)(ii)(K). |
(c)
Number of Shares as to which the person has:
|
||||||||||||
Name
|
(a)
Amount Beneficially Owned
|
(b)
Percent of Class*
|
Sole Power to Vote or to Direct the Vote
|
Shared Power to Vote or to Direct the Vote
|
Sole Power to Dispose or to Direct the Disposition of
|
Shared Power to Dispose or to Direct the Disposition of
|
||||||
Mina Sooch
|
1,286,262 (1)
|
6.7%
|
1,286,262 (1)
|
0
|
1,286,262 (1)
|
0
|
(1)
|
Includes (a) 466,759 shares underlying all outstanding stock options; (b) 17,413 shares underlying Series A Warrants, and (c) 2,046 shares underlying Series B
Warrants.
|
Item 5. |
Ownership of Five Percent or Less of a Class.
|
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person.
|
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
|
Item 8. |
Identification and Classification of Members of the Group.
|
Item 9. |
Notice of Dissolution of Group.
|
Item 10. |
Certification.
|
/s/ Mina Sooch
|