FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 01/27/2009 |
3. Issuer Name and Ticker or Trading Symbol
Aftersoft Group [ ASFG ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 3,103,524 | D | |
Common Stock | 5,322,646 | I | See footnote(1) |
Common Stock | 1,348,719 | I | See footnote(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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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: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant | 04/24/2008 | 04/24/2014 | Common Stock | 5,112,328 | $1 | I | See footnote(1) |
Warrant | 04/24/2008 | 04/24/2014 | Common Stock | 1,290,671 | $1 | I | See footnote(2) |
Explanation of Responses: |
1. On the date hereof, Mr. Lewis has an indirect beneficial ownership interest in 5,322,646 shares of common stock and 5,112,328 shares issuable upon exercise of warrants (which are currently exercisable at $1.00 per share and expire April 24, 2014), which are directly beneficially owned by Lewis Opportunity Fund, LP, as a result of Mr. Lewis' position as portfolio manager and general partner of Lewis Asset Management Corp., the investment manager of Lewis Opportunity Fund, LP. |
2. On the date hereof, Mr. Lewis has an indirect beneficial ownership interest in 1,348,719 shares of common stock and 1,290,671 shares issuable upon exercise of warrants (which are currently exercisable at $1.00 per share and expire April 24, 2014), which are directly beneficially owned by LAM Opportunity Fund, LTD, as a result of Mr. Lewis' position as portfolio manager and general partner of Lewis Asset Management Corp., the investment manager of LAM Opportunity Fund, LTD. |
/s/ William Austin Lewis IV | 04/08/2009 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* 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). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
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 Number. |