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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 | ||||||||
Options | $ 1 | 09/20/2007 | 05/01/2009 | Common Stock | 400,000 | 0 | D | ||||||||
Warrants | $ 1.30 | 09/20/2007 | 05/05/2012 | Common Stock | 1,373,209 | 0 | I | Fairwater Technology Group Ltd. | |||||||
Warrants | $ 1.70 | 09/20/2007 | 05/05/2012 | Common Stock | 1,373,209 | 0 | I | Fairwater Technology Group Ltd. | |||||||
Warrants | $ 1.30 | 09/20/2007 | 05/05/2012 | Common Stock | 25,000 | 0 | I | Softworks Business Systems Solutions Ltd. | |||||||
Warrants | $ 1.70 | 09/20/2007 | 05/05/2012 | Common Stock | 25,000 | 0 | I | Softworks Business Systems Solutions Ltd. |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
REID JASON LEE C/O CODA OCTOPUS GROUP, INC. 164 WEST 25TH STREET, 6TH FLOOR NEW YORK, NY 10001 |
X | X | Chief Executive Officer | & President |
/s/ Jason Lee Reid | 06/30/2008 | |
**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) | Includes 23,367 shares currently acquired and 501,479 shares that are owned by the Reporting Person directly. In addition, includes 19,523,251 shares held by Fairwater Technology Group Ltd. Also includes 280,720 shares that are registered in the name of Softworks Business Systems Solutions Ltd. and that were previously reported and 2,067 shares that were not previously reported. The Reporting Person is deemed to be the control person of these two entities. The remaining 172,540 shares are indirectly owned through his Spouse. |