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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 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. | |||
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. | SEC 1474 (9-02) |
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 Underlying Securities (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 of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Vicis Capital, LLC 445 PARK AVENUE SUITE 1043 NEW YORK, NY 10022 |
Former 10% Beneficial Owners | |||
Vicis Capital Master Fund 445 PARK AVENUE SUITE 1043 NEW YORK, NY 10022 |
Former 10% Beneficial Owners | |||
SUCCO JOHN C/O VICIS CAPITAL, LLC 445 PARK AVENUE, SUITE 1043 NEW YORK, NY 10022 |
Former 10% Beneficial Owners | |||
LUCAS SKY C/O VICIS CAPITAL, LLC 445 PARK AVENUE, SUITE 1043 NEW YORK, NY 10022 |
Former 10% Beneficial Owners |
/s/ Andrew Comito, Authorized Representative, Vicis Capital Master Fund | 10/07/2014 | |
**Signature of Reporting Person | Date | |
/s/ Andrew Comito, as Power of Attorney for John D. Succo | 10/07/2014 | |
**Signature of Reporting Person | Date | |
/s/ Andrew Comito, as Power of Attorney for Sky M. Lucas | 10/07/2014 | |
**Signature of Reporting Person | Date | |
/s/ Andrew Comito, Compliance Officer, Vicis Capital, LLC | 10/07/2014 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | All of the foregoing represents securities formerly held directly by Vicis Capital Master Fund. Vicis Capital, LLC acts as investment advisor to Vicis Capital Master Fund and therefore formerly had voting and dispositive power over all the foregoing shares. For the purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Vicis Capital, LLC, and its members, John Succo and Sky Lucas, may each have been deemed to be the beneficial owner of, but hereby disclaim such beneficial ownership of, the foregoing shares. |
(2) | This Form 4 is being filed by each of the Reporting Persons as a result of the disposition of all of the shares of Deer Valley Corporation by Vicis Capital Master Fund to a private purchaser for aggregate consideration of $3,600,000 on October 6, 2014. |