- Initial Statement of Beneficial Ownership (3)
10 Marzo 2009 - 12:24AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0104
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February 28, 2011
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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(h) 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. Date of Event Requiring Statement (MM/DD/YYYY)
3/4/2009
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3. Issuer Name
and
Ticker or Trading Symbol
PARLUX FRAGRANCES INC [PARL]
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(Last)
(First)
(Middle)
275 MADISON AVE, SUITE 418
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4. 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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(Street)
NEW YORK, NY 10016
(City)
(State)
(Zip)
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5. 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 Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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515034
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D
(1)
(4)
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Common Stock
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2043594
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D
(2)
(4)
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Common Stock
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105000
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D
(3)
(4)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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 securities of the issuer held directly by Pike Capital Partners, LP, a Delaware limited partnership ("LP Fund").
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(
2)
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Represents securities of the issuer held directly by Pike Capital Partners (QP), LP, a Delaware limited partnership ("QP
Fund").
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(
3)
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Represents securities of the issuer held directly by Daniel W. Pike ("Mr. Pike").
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(
4)
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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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Pike Capital Partners, LP by Pike Capital Management LLC, General Partner, by Kevin R. Arps, Chief Financial Officer
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3/9/2009
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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 5(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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