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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT 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 1474 (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 Following Reported Transaction(s) (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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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 8.63 | 04/18/2012 | A | 7,999 | 04/18/2012 | 10/11/2012 | Common Stock | 7,999 | (2) | 7,999 | D | ||||
Stock Option (Right to Buy) | $ 6.94 | 04/18/2012 | A | 7,999 | 04/18/2012 | 10/16/2013 | Common Stock | 7,999 | (3) | 7,999 | D | ||||
Stock Option (Right to Buy) | $ 4.09 | 04/18/2012 | A | 7,999 | 04/18/2012 | 10/13/2014 | Common Stock | 7,999 | (4) | 7,999 | D | ||||
Stock Option (Right to Buy) | $ 4.19 | 04/18/2012 | A | 7,999 | 04/18/2012 | 10/12/2015 | Common Stock | 7,999 | (5) | 7,999 | D | ||||
Stock Option (Right to Buy) | $ 6.38 | 04/18/2012 | A | 7,999 | 04/18/2012 | 11/02/2016 | Common Stock | 7,999 | (6) | 7,999 | D | ||||
Warrant | $ 3.38 | 04/18/2012 | A | 5,333 | 04/18/2012 | 03/31/2013 | Common Stock | 5,333 | (7) | 5,333 | D | ||||
Stock Option (Right to Buy) | $ 9.38 | 04/18/2012 | A | 10,000 | (8) | 04/18/2022 | Common Stock | 10,000 | (9) | 10,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GOPMAN GLENN H C/O PERFUMANIA HOLDINGS, INC. 35 SAWGRASS DRIVE, SUITE 2 BELLPORT, NY 11713 |
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/s/ Donna L. Dellomo as attorney-in-fact | 04/20/2012 | |
**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) | Received in exchange for 80,000 shares of Parlux Fragrances, Inc. ("Parlux") common stock pursuant to its acquisition by the issuer. On the effective date of the acquisition, the closing market price of Parlux's common stock was $5.78 per share and the closing market price of the issuer's common stock was $9.38 per share. |
(2) | Received in exchange for a stock option to acquire 15,000 shares of Parlux common stock for $4.60 per share pursuant to the acquisition. |
(3) | Received in exchange for a stock option to acquire 15,000 shares of Parlux common stock for $3.70 per share pursuant to the acquisition. |
(4) | Received in exchange for a stock option to acquire 15,000 shares of Parlux common stock for $2.18 per share pursuant to the acquisition. |
(5) | Received in exchange for a stock option to acquire 15,000 shares of Parlux common stock for $2.23 per share pursuant to the acquisition. |
(6) | Received in exchange for a stock option to acquire 15,000 shares of Parlux common stock for $3.40 per share pursuant to the acquisition. |
(7) | Received in exchange for a warrant to acquire 10,000 shares of Parlux common stock for $1.80 per share pursuant to the acquisition. |
(8) | The options vest in three (3) substantially equal installments beginning on the 1st anniversary of the grant and annually thereafter. |
(9) | Granted pursuant to the Perfumania 2010 Equity Incentive Plan |