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 |
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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) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Stock Options | (3) | 04/15/2015 | Common Stock | 1,713 | $ 8.03 | D | |
Stock Options | (4) | 04/15/2016 | Common Stock | 25,000 | $ 3.85 | D | |
Stock Options | (5) | 04/15/2017 | Common Stock | 25,000 | $ 3.85 | D | |
Stock Options | (6) | 04/15/2018 | Common Stock | 25,000 | $ 2.48 | D | |
Stock Options | (7) | 07/06/2016 | Common Stock | 172,500 | $ 3.85 | D | |
Stock Options | (8) | 06/30/2018 | Common Stock | 300,000 | $ 2.48 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
LAWRENCE PETER J.L. 135 FIFTH AVENUE, FLOOR 10 NEW YORK, NY 10010 |
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/s/ Victoria B. Bantz as attorney in fact for Peter J.L. Lawrence | 08/18/2014 | |
**Signature of Reporting Person | Date |
* | 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) | Shares held by Mr. Lawrence and his spouse as trustees of the Peter Lawrence 1992 Settlement Trust. |
(2) | Upon effectiveness of the Form 10 filed by AWLD on May 14, 2014, all Series A Preferred Stock will convert to Common Stock on a 1:1 basis. |
(3) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on April 15, 2010. All options fully vested as of April 15, 2011. |
(4) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on April 15, 2011. All options fully vested as of April 15, 2012. |
(5) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on April 15, 2012. All options fully vested as of April 15, 2013. |
(6) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on April 15, 2013. All options fully vested as of April 15, 2014. |
(7) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on July 6, 2011. Options to acquire 34,500 vest on July 6, 2012; thereafter options to acquire 8,625 shares vest every three months. |
(8) | Options granted pursuant to AWLD's 2008 Equity Incentive Plan on June 30, 2013. All options immediately vested as of June 30, 2013. |