SEC Form 3 · accession 0001405086-15-000008
DR. TATTOFF, INC. · (NONE)
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Jul 31, 2012
Accepted (ET)
Jan 8, 2015 · 10:37 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001294157
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | holding | — | — | — | 1,530,613 | D | ||
| Common StockF2 | holding | — | — | — | 1,530,613 | I | SEE FOOTNOTE | |
| Common StockF3 | holding | — | — | — | 0 | I | SEE FOOTNOTE |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF4 | $0.595 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2017 | Common Stock | 765,306 | — | D |
| WarrantF5 | $0.595 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2017 | Common Stock | 765,306 | — | I |
| WarrantF6 | $0.595 | holding | — | — | — | Jul 31, 2012 | Jul 31, 2017 | Common Stock | 0 | — | I |
Explanation of responses
- F1Represents shares of common stock of Dr. Tattoff, Inc. (the "Issuer") directly owned by The Andrew M. Heller 2009 GRAT (the "GRAT").
- F2Represents shares of common stock of the Issuer indirectly owned by Andrew M. Heller ("Mr. Heller"). Such shares of common stock are owned directly by the GRAT. Mr. Heller is the settlor of and beneficiary of the GRAT and may be deemed to have beneficial ownership of such shares of common stock. Mr. Heller disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of such shares of common stock (except to the extent of his pecuniary interest in such securities), and this report shall not be deemed an admission that Mr. Heller is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F3Represents shares of common stock of the Issuer indirectly owned by Brett W. Dixon ("Mr. Dixon"). Such shares of common stock are held directly by the GRAT. Mr. Dixon is the Trust Protector of the GRAT and does not have any pecuniary interest in the such shares of common stock.
- F4Represents warrants exercisable for shares of common stock of the Issuer owned directly by the GRAT.
- F5Represents warrants exercisable for shares of common stock of the Issuer owned indirectly by Mr. Heller. Such warrants are owned directly by the GRAT (see footnote (2) above). Mr. Heller disclaims beneficial ownership (as defined in Rule 16a-1(a)(2)) of such warrants (except to the extent of his pecuniary interest in such securities), and this report shall not be deemed an admission that Mr. Heller is the beneficial owner of the securities for purposes of Section 16 or for any other purpose.
- F6Represents warrants exercisable for shares of common stock of the Issuer owned by Mr. Dixon. Such warrants are owned directly by the GRAT. Mr. Dixon is the Trust Protector of the GRAT and does not have any pecuniary interest in such warrants.