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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 | |||||||||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 33,875 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Managing Member as General Partner of Darwin Partnership | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 42,576 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Managing Member as General Partner of Darwin Partnership | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 73,443 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Managing Member as General Partner of Fallen Angel Partnership | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 66,730 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Managing Member as General Partner of Fallen Angel Partnership | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 582,644 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Managing Member as General Partner of Gagnon Investment Associates Master Fund | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 1,200 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 1,215 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 6,650 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 90,000 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 10,315 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 70,000 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 97,512 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Limited Partner of the Family Partnership | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 4,655 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 4,004 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Self as Trustee of Gagnon Securiites LLC Profit Sharing Plan | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 252 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Self as Trustee of Gagnon Securiites LLC Profit Sharing Plan | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 2,212 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Self as Trustee of Gagnon Securiites LLC Profit Sharing Plan | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 900 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Self as Trustee of Gagnon Securiites LLC Profit Sharing Plan | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 1,180 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | By Self as Trustee of Gagnon Securiites LLC Profit Sharing Plan | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 10,000 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 13,815 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 1,372 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 2,235 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 4,375 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Rights | $ 1.5 | 06/25/2010 | Â | C4 | Â | 6,245 | 06/25/2010 | 06/25/2013 | Common Stock | $ 0 (1) | 0 (2) | Â | ||
Units | $ 1.5 | 09/15/2010 | Â | P4 | 1,330 | Â | 09/15/2010 | 06/25/2013 | Common Stock | $ 1.49 | 1,127,405 | Â | ||
Units | $ 1.5 | 09/17/2010 | Â | P4 | 6,000 | Â | 09/17/2010 | 06/25/2013 | Common Stock | $ 1.46 | 1,127,405 | Â | ||
Units | $ 1.5 | 09/27/2010 | Â | P4 | 500 | Â | 09/27/2010 | 06/25/2013 | Common Stock | $ 1.29 | 1,127,405 | Â | ||
Units | $ 1.5 | 10/01/2010 | Â | P4 | 150 | Â | 10/01/2010 | 06/25/2013 | Common Stock | $ 1.54 | 1,135,385 | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
GAGNON NEIL 1370 AVENUE OF THE AMERICAS, 24TH FLOOR NEW YORK, NY 10019 |
 |  X |  |  |
/s/ Neil Gagnon | 05/21/2012 | |
**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) | No additional consideration paid by the Reporting Person for such warrant/right. |
(2) | No securities were beneficially owned at the end of 2008 and 2009. |
 Remarks: The Reporting Person has tendered a payment of $7,659.31 to the issuer with respect to all profits realized by the Reporting Person from the transactions reported herein which result in a liability under Section 16(b) of the Securities Exchange Act of 1934. This Form 5 is number eight in a series of ten Form 5 filings for GFN. |