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, Section 17(a) of the Public Utility Holding Company Act of 1935 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 | ||||
Options (right to buy) | Â (3) | 05/16/2013 | Common Stock | 100,000 | $ 2.75 | D (3) | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Chan Ella Y. T. C. 323 WOOD LOOP ST. HOUSTON, TX 77015 |
 |  X |  |  |
Estate of Chiu M. Chan 323 WOOD LOOP ST. HOUSTON, TX 77015 |
 |  X |  |  |
/s/ Ella Y.T.C. Chan | 09/12/2012 | |
**Signature of Reporting Person | Date | |
/s/ Ella Y.T.C. Chan, as executrix of the Estate of Chiu M. Chan | 09/12/2012 | |
**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) | The Common Stock is owned by Ella Y. T. C. Chan. |
(2) | The Common Stock is owned by the Estate of Chiu M. Chan. Ella Y. T. C. Chan is the sole executrix of the estate with sole voting and dispositive power over the Common Stock held by the estate. Ms. Chan is the sole beneficiary of the shares of Common Stock owned by the estate. |
(3) | The Options are currently exercisable and are owned by the Estate of Chiu M. Chan. |
 Remarks: The Reporting Persons together with Eric K. Chan, Bert Chan, Philip S. Chan, Chan Chang Chin Ying and Edward K. Chiu may constitute a group under the meaning of Rule 13d-5 of the Securities Exchange Act of 1934, as amended. See Schedule 13D filed by the Reporting Persons on September 12, 2012. |