3//SEC Filing
Global Water Asset Corp 3
Accession 0001144204-09-051551
CIK 0001286923operating
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 4:46 PM ET
Size
8.2 KB
Accession
0001144204-09-051551
Insider Transaction Report
Form 3
Vicis Capital, LLC
10% Owner
Holdings
- 262,125(indirect: By Vicis Capital Master Fund)
Common Stock, $0.001 par value per share
- (indirect: By Vicis Capital Master Fund)
Series A Convertible Pref Stock, $0.001 par value per share
Exercise: $0.00→ Common Stock (2,000,000 underlying)
Vicis Capital Master Fund
10% Owner
Holdings
- 262,125(indirect: By Vicis Capital Master Fund)
Common Stock, $0.001 par value per share
- (indirect: By Vicis Capital Master Fund)
Series A Convertible Pref Stock, $0.001 par value per share
Exercise: $0.00→ Common Stock (2,000,000 underlying)
Footnotes (3)
- [F1]Represents the indirect holdings of Vicis Capital LLC. All of the foregoing represents securities held directly by Vicis Capital Master Fund. Vicis Capital LLC acts as investment advisor to Vicis Capital Master Fund and therefore has voting and dispositive power over all the foregoing shares. For the purposes of Rule 13d-3 under the Securities Exchange Act of 1934, as amended, Vicis Capital LLC may be deemed to be the beneficial owner of, but hereby disclaims such beneficial ownership of, the foregoing shares.
- [F2]Immediately.
- [F3]Each share of the Series A Preferred Stock shall automatically convert into the Issuer's common stock on a one-for-one basis on the two-year anniversary date of the closing of the offering described in the Private Placement Memorandum dated June 14, 2006 by Waterbank of America Inc., provided that the holder is not an affiliate of the Issuer.
Documents
Issuer
Global Water Asset Corp
CIK 0001286923
Entity typeoperating
Related Parties
1- filerCIK 0001286923
Filing Metadata
- Form type
- 3
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 4:46 PM ET
- Size
- 8.2 KB