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 |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Halo Technology Holdings, Inc. 200 RAILROAD AVENUE THIRD FLOOR GREENWICH, CT 06830 |
 |  X |  |  |
Ernest C. Mysogland as Attorney in Fact | 04/11/2006 | |
**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 reporting person does not have a pecuniary interest in these shares of common stock of the Issuer. However, the reporting person is deemed to be a beneficial owner of over 10% of the Issuer's common stock by virture of having entered into a stockholder voting agreement (the "Stockholder Agreement") as of December 23, 2005 with certain stockholders of the Issuer. Pursuant to the Stockholder Agreement, the reporting person was granted the power to control voting of 2,190,867 shares, which include 560,632 shares of common stock and immediately exercisable options and warrants to purchase 1,630,235 shares of common stock, constituting approximately 18.7% of the outstanding shares of common stock of the Issuer. |