- Statement of Changes in Beneficial Ownership (4)
09 12월 2008 - 8:35AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public
Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Pike Capital Partners, LP
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2. Issuer Name
and
Ticker or Trading Symbol
Industrial Enterprises of America, Inc.
[
IEAM
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
275 MADISON AVE, SUITE 418
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3. Date of Earliest Transaction
(MM/DD/YYYY)
12/4/2008
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(Street)
NEW YORK, NY 10016
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock
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12/4/2008
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P
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11800
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A
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$0.01
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530133
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D
(1)
(3)
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Common Stock
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12/4/2008
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P
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88200
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A
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$0.01
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4241533
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D
(2)
(3)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Represents transactions of Pike Capital Partners, LP, a Delaware limited partnership ("LP Fund").
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(
2)
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Represents transactions of Pike Capital Partners (QP), LP, a Delaware limited partnership ("QP Fund").
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(
3)
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Pike Capital Management LLC, a Delaware limited liability company ("Pike Management"), is the general partner of each of the
LP Fund and QP Fund. Daniel W. Pike is the managing member of Pike Management. Each of Pike Management and Mr. Pike may be
deemed to indirectly beneficially own the securities directly owned by the LP Fund and QP Fund. For purposes of this Form
4, Pike Management and Mr. Pike disclaim ownership of the shares of common stock owned by the funds reporting on this Form 4
except to the extent of their pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Pike Capital Partners, LP
275 MADISON AVE
SUITE 418
NEW YORK, NY 10016
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X
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Pike Capital Partners (QP), LP
275 MADISON AVE
SUITE 418
NEW YORK, NY 10016
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X
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Pike Capital Management LLC
275 MADISON AVENUE, SUITE 418
NEW YORK, NY 10016
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X
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Pike Daniel W
275 MADISON AVENUE, SUITE 418
NEW YORK, NY 10016
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X
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Signatures
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Kevin R. Arps, Chief Financial Officer of Pike Capital Management LLC, as General Partner of Pike Capital Partners, LP
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12/8/2008
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**
Signature of Reporting Person
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Date
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Kevin R. Arps, Chief Financial Officer of Pike Capital Management LLC, as General Partner of Pike Capital Partners (QP), LP
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12/8/2008
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**
Signature of Reporting Person
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Date
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Kevin R. Arps, Chief Financial Officer of Pike Capital Management LLC
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12/8/2008
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**
Signature of Reporting Person
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Date
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Kevin R. Arps, as Attorney-in-Fact for Daniel W. Pike
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12/8/2008
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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.
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Industrial Enterprises o... (CE) (USOTC:IEAM)
과거 데이터 주식 차트
부터 10월(10) 2024 으로 11월(11) 2024
Industrial Enterprises o... (CE) (USOTC:IEAM)
과거 데이터 주식 차트
부터 11월(11) 2023 으로 11월(11) 2024
Industrial Enterprises of America Inc (CE) (OTC 시장)의 실시간 뉴스: 최근 기사 0
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