UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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 control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Mack Dennis W. 2331 TRIPALDI WAY HAYWARD, CA 94545 |
X | X | Executive Vice President |
Dennis W. Mack | 10/10/2016 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(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). |
(1) | (1) On October 10, 2016, Western State Design, LLC ("WSD LLC") acquired an aggregate of 1,656,486 shares of the issuer's Common Stock pursuant to an Asset Purchase Agreement between WSD LLC and its members Dennis Mack and Thomas Marks, on the one hand, and issuer and its wholly-owned subsidiary, Western State Design, Inc., a Delaware corporation, on the other hand. In accordance with the Asset Purchase Agreement, upon closing of the transaction, Dennis Mack, a 50% member and a manager of WSD LLC, was appointed an Executive Vice President of the issuer. Prior to the closing of the transaction, neither WSD LLC nor Dennis Mack directly or indirectly owned any shares of the issuer's Common Stock. |
(2) | (2)The shares of issuer's Common Stock reported in this Form 3 are owned directly by WSD LLC. Dennis Mack is a 50% member and a manager of WSD LLC. |