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5//SEC Filing

AMERICAN VANTAGE COMPANIES 5

Accession 0001209191-07-035423

CIK 0000315428operating
View on SEC.govCompany Profile

Filed

Jun 4, 8:00 PM ET

Accepted

Jun 5, 7:43 PM ET

Size

75.5 KB

Accession

0001209191-07-035423

Insider Transaction Report

Form 5
Period: 2006-12-31
AMERICAN VANTAGE COMPANIESAVCS.OB
BLUERIDGE ASSOCIATES, LLC
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
Holdings

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock

    64,793

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000
PINECREST ASSOCIATES, LLC
Other
Transactions
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
Holdings

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock

    64,793

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342
MULBERRY ASSOCIATES
Other
Transactions
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
Holdings

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock

    64,793

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480
DRJ ASSOCIATES
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
Holdings

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock

    64,793

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock

    324,178

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110
KNOWLEDGE INDUSTRIES LLC
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
Holdings

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock

    64,793

  • Common Stock

    324,178

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640
EJ ASSOCIATES
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
Holdings

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock

    324,178

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock

    64,793

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480
LARCH LLC
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
Holdings

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock

    64,793

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342
WHITEWELL PARTNERS L.P.
Other
Transactions
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
Holdings

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock

    64,793

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342
GREENSTONE FINANCIAL
Other
Transactions
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−30,800$6→ 0 total(indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
  • Other

    Common Stock Warrants (right to buy)

    2005-07-31−17,342→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−44,000$9→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,760$0→ 0 total(indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−7,480$1→ 0 total(indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,350$1→ 0 total(indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−1,320$0→ 0 total(indirect: Indirectly held by Mulberry through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,320 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−2,640$1→ 0 total(indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
  • Other

    Common Stock

    2006-02-01−324,178→ 0 total
  • Other

    Common Stock

    2006-02-01−64,793→ 0 total
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−6,750$7→ 0 total(indirect: Indirectly held by Mulberry through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (6,750 underlying)
  • Sale

    Common Stock Warrants (right to buy)

    2005-12-30$0.00/sh−9,000$10→ 0 total
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
Holdings

  • Common Stock

    64,793

  • Common Stock

    (indirect: Indirectly held by Larch through Pinecrest)
    9,719

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    226,925

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (8,070 underlying)
    8,070

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,760 underlying)
    1,760

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Greenstone through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (7,480 underlying)
    7,480

  • Common Stock

    (indirect: Indirectly held by EJ Associates through Blueridge)
    12,967

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by EJ Associates through DRJ Associates)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (17,342 underlying)
    17,342

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (9,000 underlying)
    9,000

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Larch through Pinecrest)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (1,350 underlying)
    1,350

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Whitewell through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (2,640 underlying)
    2,640

  • Common Stock

    (indirect: Indirectly held by Mulberry through Pinecrest and Blueridge)
    58,320

  • Common Stock

    (indirect: Indirectly held by whitewell through Blueridge)
    19,451

  • Common Stock Warrants (right to buy)

    (indirect: Indirectly held by Knowledge Industries through Blueridge)
    Exercise: $5.00Exp: 2013-12-31→ Common Stock (30,800 underlying)
    30,800

  • Common Stock Warrants (right to buy)

    Exercise: $5.00Exp: 2013-12-31→ Common Stock (44,000 underlying)
    44,000

  • Common Stock

    324,178

  • Common Stock

    (indirect: Indirectly held by Greenstone through Blueridge)
    55,110
Footnotes (14)
  • [F1]On December 31, 2004, YaYa LLC, a Delaware limited liability company ("YaYa"), dissolved and distributed all of its shares of the Issuer's common stock ("shares") to its creditors. Pinecrest Associates, LLC, a Delaware limited liability company ("Pinecrest"), and Blueridge Associates, LLC, a Delaware limited liability company ("Blueridge"), each received shares of common stock from YaYa upon such dissolution.
  • [F10]The warrants are immediately exercisable by the holders thereof.
  • [F11]On December 30, 2005, Pinecrest and Blueridge sold warrants to purchase 9,000 and 44,000 shares, respectively.
  • [F12]As of December 31, 2004, DRJ Associates, a California general partnership ("DRJ Associates"), held warrants to purchase 17,342 shares. EJ Associates may be deemed to have shared indirect beneficial ownership of the warrants beneficially owned by DRJ Associates, but disclaims such beneficial ownership, except to the extent of its pecuniary interest therein. Lowell J. Milken is a general partner or EJ Associates and in such capacity may be deemed to have shared indirect beneficial ownership of the shares that EJ Associates may be deemed to have beneficial ownership of, but disclaims such beneficial ownership except to the extent of his pecuniary interest therein.
  • [F13]On July 31, 2005, DRJ Associates made a pro rata distribution of all of its warrants to EJ Associates upon dissolution.
  • [F14]The Reporting Persons may be deemed to be a group with other entities which are controlled, directly or indirectly, by Michael R. Milken and/or Lowell J. Milken. The Reporting Persons disclaim such group membership. The filing of this statement shall not be deemed an admission that, for purposes of Section 16 of the Securities Exchange Act of 1934, or otherwise, a Reporting Person is the beneficial owner of equity securities covered by this statement that are beneficially owned, directly or indirectly, by any other person.
  • [F2]Pinecrest received 64,793 shares from YaYa upon dissolution. As of December 31, 2004, Pinecrest held warrants ("warrants") to purchase 9,000 shares. A majority of the equity interests in Pinecrest were owned by Mulberry Associates, a California general partnership ("Mulberry"), whose proportional interest in the shares and warrants held by Pinecrest was 48,595 shares and warrants to purchase 6,750 shares, and Larch LLC, a California limited liability company ("Larch"), whose proportional interest in the shares and warrants held by Pinecrest was 9,719 shares and warrants to purchase 1,350 shares. Each of Mulberry and Larch may be deemed to have shared indirect beneficial ownership of the shares and warrants beneficially owned by Pinecrest, but disclaim such beneficial ownership, except to the extent of its pecuniary interest therein. (continued on footnote 3).
  • [F3]Michael R. Milken is a general partner of Mulberry and in such capacity may be deemed to have shared indirect beneficial ownership of the shares that Mulberry may be deemed to have shared, but disclaims such beneficial ownership except to the extent of his pecuniary interest therein. The members of Larch are irrevocable trusts for the benefit of the children of Lowell J. Milken. Michael R. Milken and Lowell J. Milken disclaim beneficial ownership of shares that such trusts may be deemed to have beneficial ownership of.
  • [F4]On February 1, 2006, Pinecrest made a pro rata distribution of all of the shares that it held to its members upon dissolution, including Mulberry and Larch.
  • [F5]Blueridge received 324,178 shares from YaYa upon dissolution. As of December 31, 2004, Blueridge held warrants to purchase 44,000 shares. (continued on footnote 6).
  • [F6]The members of Blueridge were (i) Mulberry, whose proportional interest in the shares and warrants held by Blueridge was 9,725 shares and warrants to purchase 1,320 shares, (ii) Knowledge Industries LLC, a California limited liability company ("Knowledge Industries"), whose proportional interest in the shares and warrants held by Blueridge was 226,925 shares and warrants to purchase 30,800 shares, (iii) Whitewell Partners LP, a California limited partnership ("Whitewell"), whose proportional interest in the shares and warrants held by Blueridge was 19,451 shares and warrants to purchase 2,640 shares, (iv) EJ Associates, a California partnership ("EJ Associates"), whose proportional interest in the shares and warrants held by Blueridge was 12,967 shares and warrants to purchase 1,760 shares, and (continued on footnote 7).
  • [F7](v) Greenstone Financial, a California general partnership ("Greenstone"), whose proportional interest in the shares and warrants held by Blueridge was 55,110 shares and warrants to purchase 7,480 shares. Each of Mulberry, Knowledge Industries, Whitewell, EJ Associates and Greenstone may be deemed to have shared indirect beneficial ownership of the shares beneficially owned by Blueridge, but disclaim such beneficial ownership, except to the extent of its pecuniary interest therein. Michael R. Milken is a general partner of Mulberry and a member of Knowledge Industries, and in such capacities may be deemed to have shared indirect beneficial ownership of the shares that Mulberry and Knowledge Industries may be deemed to have beneficial ownership of, but disclaims such beneficial ownership except to the extent of his pecuniary interest therein. (continued on footnote 8).
  • [F8]Lowell J. Milken is a general partner of Whitewell, EJ Associates and Greenstone and in such capacities may be deemed to have shared indirect beneficial ownership of the shares that Whitewell, EJ Associates and Greenstone may be deemed to have beneficial ownership of, but disclaims such beneficial ownership except to the extent of his pecuniary interest therein.
  • [F9]On February 1, 2006, Blueridge made a pro rata distribution of all of the shares that it held to its members upon dissolution.

Documents

1 file

Issuer

AMERICAN VANTAGE COMPANIES

CIK 0000315428

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Entity typeoperating
IncorporatedNV

Related Parties

1
  • filerCIK 0000315428

Filing Metadata

Form type
5
Filed
Jun 4, 8:00 PM ET
Accepted
Jun 5, 7:43 PM ET
Size
75.5 KB
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