10/k out - JOE NOEL 28% control or ownership of stock through companies he controls:
ITEM 12. Security Ownership of Certain Beneficial Owners and Management and Related Stockholder Matters
The following table sets forth as of October 30, 2014, certain information with respect to the beneficial ownership of our common stock by (i) each of our executive officers, (ii) each person who is known by us to beneficially own more than 5% of our outstanding common stock, and (iii) all of our directors and executive officers as a group. Percentage ownership is calculated based on 5,628,679 shares of our common stock outstanding as of October 30, 2014. None of the shares listed below are issuable pursuant to stock options or warrants of the Company.
Title of class Name and Address of Beneficial Ownership Amount and Nature of Beneficial Owner Percentage of class
Common Stock Ronald Adams
200 West Church Road, Suite B
King of Prussia, PA 19406 634,164 11.28 %
Common Stock Alan Polsky
200 West Church Road, Suite B
King of Prussia, PA 19406 227,478 4.04 %
Common Stock All officers and directors as a group (2 persons) 861,642 15.32 %
Common Stock Biotech Debt Liquidation Fund, LLC
1156 Clement Street San Francisco, CA 94118 541,301 9.62 %
Common Stock Biotech Liquidation Fund, LLC
1156 Clement Street San Francisco, CA 94118 505,905 9.00 %
Common Stock Joseph A.
Noel 1155C Arnold Dr. Suite 168
Martinez, CA 94553 543,310 * 9.66 %
Common Stock JTT-EMS LTD
801-6081 No. 3 Road
Richmond, B.C., V6y 2B2 602,093 10.71 %
* Joseph A. Noel’s total beneficial ownership is 543,310 (9.66%), which includes up to 199,084 shares as a member of Biotech Debt Liquidation Fund, LLC and up to 344,226 shares as a member of Biotech Liquidation Fund, LLC.
* Joseph A. Noel’s total beneficial ownership is 543,310 (9.66%), which includes up to 199,084 shares as a member of Biotech Debt Liquidation Fund, LLC and up to 344,226 shares as a member of Biotech Liquidation Fund, LLC.
