3: Initial statement of beneficial ownership of securities
Published on July 15, 2013
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 |
|
| ||||||||||||||||||||||||||||||
|
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) |
||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant to purchase common stock | 06/17/2013 | 06/17/2018 | Common Stock | 3,848,169 (5) | $ 0.2 | I | See Footnote (1) |
Warrant to purchase common stock | 06/17/2013 | 06/17/2018 | Common Stock | 276,233 (5) | $ 0.2 | I | See Footnote (2) |
Warrant to purchase common stock | 06/17/2013 | 06/17/2018 | Common Stock | 556,551 (5) | $ 0.2 | I | See Footnote (3) |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Porter Jeffrey 300 DRAKE LANDING ROAD SUITE 175 GREENBRAE, CA 94904 |
X |
Signatures
/s/ Jeffrey Porter | 07/15/2013 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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) | Jeffrey Porter, as the General Partner of Porter Capital Management Co., which is the managing general partner of Porter Partners, LP, has voting and dispositive power over the securities. |
(2) | Jeffrey Porter, as the General Partner of Porter Capital Management Co., which is the managing general partner of Ben Joseph Partners, has voting and dispositive power over the securities. |
(3) | Jeffrey Porter, as the General Partner of Porter Capital Management Co., which is the trading advisor of EDJ Limited, has voting and dispositive power over the securities. |
(4) | Jeffrey Porter, as trustee of the Porter Family Living Trust dtd 9/5/2006, has voting and dispositive power over the securities. |
(5) | The warrant holder does not have the right to exercise the warrant to the extent that after giving effect to such exercise, the holder would beneficially own in excess of 9.99% of the shares of common stock of Mobivity Holdings Corp. outstanding immediately after giving effect to such exercise. The holder of the warrant may remove such limitation on exercise of the warrant by providing 60 days prior written notice to Mobivity Holdings Corp. |