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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549ANNUAL STATEMENT OF CHANGES IN 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. | 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. | SEC 2270 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned at End of Issuer's Fiscal Year (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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(A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | |||||||||
Warrants (right to buy) | $ 8 | 09/18/2013 | Â | J4 (1) | 106,666 | Â | 04/18/2012 | 04/07/2018 | Common Stock, $.01 par value | $ 0 | 1,726,450 | See Note 2 (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Carter Shawn Corey C/O S. CARTER ENTERPRISES, LLC 1411 BROADWAY NEW YORK, NY 10018 |
 |  X |  |  |
/s/Shawn Corey Carter | 02/27/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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) | Mr. Carter received the warrants pursuant to an assignment by another holder of warrants in Perfumania Holdings, Inc. |
(2) | Of the 1,726,450 derivative securities beneficially owned, 1,193,118 are held by Mr. Carter, 426,666 are held by Marcy Fragrance Trading Co., LLC and 106,666 are held by S. Carter Enterprises, LLC. Mr. Carter has solo voting and dispositive power over the derivative securities held by Marcy Fragrance Co., LLC and S. Carter Enterprises, LLC. |