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 | ||||
Warrant to purchase shares of Common Stock (right to buy) | 06/22/2009 | 06/22/2012 | Common Stock | 2,019,060 (2) | $ 2.185 (3) | D (1) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Max Display Enterprises Ltd C/O WALSIN LIHWA CORPORATION 11/F NO. 411 RUEIGUANG ROAD NEIHU, TAIPEI, F5 114 |
X | |||
Walsin Lihwa Corp 11/F NO. 411 RUEIGUANG ROAD NEIHU, TAIPEI, F5 114 |
X |
Max Display Enterpirses Limited /s/ Chiao Yu Lon, Director (See signatures of other Reporting Persons on the attached Exhibit 99.1) | 06/30/2009 | |
**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) | This Form 3 is filed on behalf of Max Display Enterprises Limited and Walsin Lihwa Corporation. Max Display Enterprises Limited is a wholly-owned subsidiary of Walsin Lihwa Corporation. Walsin Lihwa Corporation may be deemed to be the indirect beneficial owner of securities beneficially owned by Max Display Enterprises Limited as a result of its control of Max Display Enterprises Limited. |
(2) | The number of shares of common stock issuable upon the exercise of the warrant is subject to certain adjustments for dividends, combinations of stock, reorganizations or mergers or similar transactions pursuant to the terms of the warrant. |
(3) | The exercise price is subject to certain adjustments for dividends, combinations of stock, reorganizations or mergers or similar transactions pursuant to the terms of the warrant. |