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Message: SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT
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SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

posted on Nov 12, 2009 08:54AM
SECURITY OWNERSHIP OF CERTAIN BENEFICIAL OWNERS AND MANAGEMENT

Common Stock

The following security ownership information is set forth, as of September 15, 2009, with respect to (i) each stockholder known by us to be beneficial owners of more than 5% of our outstanding Common Stock, (ii) each of the current directors and nominees for election as directors, (iii) each of the executive officers named in the Summary Compensation Table below and (iv) all current directors, nominees and executive officers as a group (five persons). Other than as set forth below, we are not aware of any other stockholder who may be deemed to be a beneficial owner of more than 5% of our company’s Common Stock.
Name and Address
Amount and Nature of
Percent
Title
of Beneficial Owner
Beneficial Ownership(1)
of Class
of Class
Alfred H. Falk
1,743,850 (1)
*
Common
16770 West Bernardo Drive
San Diego, CA 92127
Robert Putnam
5,299,459 (2)
1.8%
Common
16770 West Bernardo Drive
San Diego, CA 92127
Allen Cocumelli
751,000 (3)
*
Common
16770 West Bernardo Drive
San Diego, CA 92127
Eric M. Polis
3,944,619 (4)
1.4%
Common
980 American Pacific Drive, #111
Henderson, NV 89014
Renee Warden
750,000 (5)
*
Common
16770 West Bernardo Drive
San Diego, CA 92127
Jerry E. Polis
23,453,919(6)
8.2%
Common
980 American Pacific Drive, #111
Henderson, NV 89014
All officers, directors and nominees
as a group (5 persons)
12,488,928 (7)
4.3%
Common
(1)
Includes 550 shares held by son to which Mr. Falk disclaims beneficial ownership. Includes options and warrants exercisable within 60 days to purchase 750,000 shares.
(2)
Includes options and warrants exercisable within 60 days to purchase 1,500,000 shares and preferred stock convertible into 1,060,959 shares.
(3)
Includes options exercisable within 60 days to purchase 750,000 shares.
(4)
Includes options exercisable within 60 days to purchase 150,000 shares. Also includes (i) 2,307,421 shares of common stock held a Family Trust of which Mr. Polis is Trustee, (ii) 1,042,696 shares of common stock held by the Polis Family LLC of which Mr. Polis is a managing member, (iii) 133,000 shares of common stock held by The Polis Charitable Foundation of which Mr. Polis is an officer, (iv) 25,000 shares of common stock held in a personal IRA, (v) 107,922 shares of common stock held by ASI Capital Corporation of which Mr. Polis is Secretary, (vi) 138,580 shares of common stock held by ASI Technology Corporation of which Mr. Polis is Secretary, and (vii) 40,000 shares of common stock held as custodian for a minor child. Mr. Polis disclaims beneficial ownership of the shares held by the Polis Charitable Foundation and as custodian for the minor child and to the shares held by ASI Capital Corporation and ASI Technology Corporation except to the extent of his respective pecuniary interest.
(5)
Includes options exercisable within 60 days to purchase 750,000 shares.
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