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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 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 | ||||||||
Stock Options | $ 0.72 | 12/08/2010 | A | 300,000 | 12/08/2010(1) | 12/08/2020 | Common Stock | 300,000 | $ 0.72 | 300,000 | D | ||||
Common Stock Purchase Warrant | $ 2 | 12/08/2010 | A | 300,000 | 12/08/2010 | 12/08/2015 | Common Stock | 300,000 | $ 2 | 300,000 | D | ||||
Stock Options | $ 0.6 | 05/25/2011 | A | 500,000 | 05/25/2011(2) | 05/25/2016 | Common Stock | 500,000 | $ 0.6 | 500,000 | D | ||||
Common Stock Purchase Warrant | $ 2 | 05/25/2011 | A | 500,000 | 05/25/2011 | 05/25/2016 | Common Stock | 500,000 | $ 2 | 500,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Burns Stephen S. C/O AMP HOLDING INC. 4540 ALPHINE AVENUE BLUE ASH, OH 45242 |
X | X | President |
/s/ Stephen S. Burns | 05/31/2011 | |
**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) | The stock options vest in three annual installments starting on December 8. 2010. |
(2) | The 500,000 in stock options granted on May 25, 2011 vest at the rate of 125,000 shares every six months commencing on the six month anniversary of the date of the Option. |