RUBICON TECHNOLOGY, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 80 rows, 80 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Series A Preferred; Transaction C Conversion of derivative security.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Series B-2 Convertible Preferred; Transaction C Conversion of derivative security.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Series C-2 Convertible Preferred; Transaction C Conversion of derivative security.
- 2007-11-21: Reporting owner CALDWELL DONALD R; Form 4; Security Series D-2 Convertible Preferred; Transaction C Conversion of derivative security.
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Series A Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −1,322,026 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Series B-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −6,254,599 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Series C-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −10,366,138 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Series D-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −3,256,147 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Series E Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −35,885,611 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See footnotes | C Conversion of derivative security | −118,544 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See footnotes | C Conversion of derivative security | −118,544 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See footnotes | C Conversion of derivative security | −3,164,832 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | CALDWELL DONALD R Director, 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See footnotes | C Conversion of derivative security | −316,945 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | HUNTER GORDON Director | 4 | Series D Convertible Preferred Derivative · Direct | C Conversion of derivative security | −12,030 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Series B-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −6,116,573 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Series C-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −1,731,213 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Series D-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −438,347 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Series E Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −5,939,420 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −121,440 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −121,440 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −662,260 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | Aquilano Don N Director, 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −94,672 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | MIKOLAJCZYK MICHAEL E Director | 4 | Series A Convertible Preferred Derivative · Direct | C Conversion of derivative security | −18,802 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MIKOLAJCZYK MICHAEL E Director | 4 | Series C-2 Convertible Preferred Derivative · Direct | C Conversion of derivative security | −189,953 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MIKOLAJCZYK MICHAEL E Director | 4 | Series D-2 Convertible Preferred Derivative · Direct | C Conversion of derivative security | −60,153 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MIKOLAJCZYK MICHAEL E Director | 4 | Series E Convertible Preferred Derivative · Direct | C Conversion of derivative security | −130,285 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −1,322,026 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Convertible Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −6,254,599 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Convertible Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −10,366,138 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,256,147 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −35,885,611 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −118,544 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −118,544 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −3,164,832 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnote | C Conversion of derivative security | −316,945 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series B-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −6,116,573 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series C-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −1,731,213 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series D-2 Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −438,347 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series E Convertible Preferred Derivative · Indirect · See footnote | C Conversion of derivative security | −5,939,420 0 owned after | $0.00 | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −121,440 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −121,440 0 owned after | $0.56 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −662,260 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-21 | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE CO INVESTMENT FUND LP | Gazelle TechVentures, Inc. | GAZELLE TECHVENTURES FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −94,672 0 owned after | $0.28 exercise price | 2007-11-26 | |
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Series A Convertible Preferred Derivative · Direct · (m) | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Series C-2 Convertible Preferred Derivative · Direct · (m) | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Series D-2 Convertible Preferred Derivative · Direct · (m) | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MIKOLAJCZYK MICHAEL E Director | 3 | Series E Convertible Preferred Derivative · Direct · (m) | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | HUNTER GORDON Director | 3 | Series D Convertible Preferred Derivative · Direct | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series A Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CROSS ATLANTIC CAPITAL PARTNERS II INC | Cross Atlantic Capital Partners, Inc. | CROSS ATLANTIC TECHNOLOGY FUND II LP | XATF Management, L.P. | XATF MANAGEMENT II LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series B-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series C-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series D-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Series E Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | MONUMENT TECHNOLOGY PARTNERS LLC | GAZELLE TECHVENTURES FUND LP | Gazelle TechVentures, Inc. | GAZELLE CO INVESTMENT FUND LP 10% Owner | 10% Owner | 10% Owner | 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Series A Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Series B-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Series C-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Series D-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Series E Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | CALDWELL DONALD R Director, 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Series B-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Series C-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Series D-2 Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Series E Convertible Preferred Derivative · Indirect · See Footnotes | Holding | no price filed | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Warrants to Purchase Series B-2 Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-11-15 holding as of filing | Aquilano Don N Director, 10% Owner | 3 | Warrants to Purchase Series E Preferred Derivative · Indirect · See Footnotes | Holding | $3.65 exercise price | 2007-11-15 | ||
| 2007-08-28 | CALDWELL DONALD R Director, 10% Owner | 4 | Series A Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −400,983 1,322,026 owned after | $0.00 | 2007-11-26 | |
| 2007-08-28 | XATF Management, L.P. | XATF MANAGEMENT II LP | CROSS ATLANTIC CAPITAL PARTNERS II INC | CROSS ATLANTIC TECHNOLOGY FUND II LP | CROSS ATLANTIC TECHNOLOGY FUND L P | Cross Atlantic Capital Partners, Inc. 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 10% Owner | 4 | Series A Preferred Derivative · Indirect · See Footnotes | C Conversion of derivative security | −400,983 1,322,026 owned after | $0.00 | 2007-11-26 |