0001105907-16-000041.txt : 20160201
0001105907-16-000041.hdr.sgml : 20160201
20160129173325
ACCESSION NUMBER: 0001105907-16-000041
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160201
DATE AS OF CHANGE: 20160129
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: CALMARE THERAPEUTICS Inc
CENTRAL INDEX KEY: 0000102198
STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841]
IRS NUMBER: 362664428
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-30128
FILM NUMBER: 161374621
BUSINESS ADDRESS:
STREET 1: 1375 KINGS HIGHWAY EAST
CITY: FAIRFIELD
STATE: CT
ZIP: 06824
BUSINESS PHONE: (203) 368-6044
MAIL ADDRESS:
STREET 1: 1375 KINGS HIGHWAY EAST
CITY: FAIRFIELD
STATE: CT
ZIP: 06824
FORMER COMPANY:
FORMER CONFORMED NAME: COMPETITIVE TECHNOLOGIES INC
DATE OF NAME CHANGE: 19941227
FORMER COMPANY:
FORMER CONFORMED NAME: UNIVERSITY PATENTS INC
DATE OF NAME CHANGE: 19920703
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: BARD ASSOCIATES INC
CENTRAL INDEX KEY: 0001105907
IRS NUMBER: 363452497
STATE OF INCORPORATION: IL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 135 S. LASALLE ST.
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60603
BUSINESS PHONE: 3127829600
MAIL ADDRESS:
STREET 1: 135 S. LASALLE STREET
STREET 2: SUITE 3700
CITY: CHICAGO
STATE: IL
ZIP: 60603
SC 13G
1
r13g123115cttc.txt
CALMARE THERAPEUTICS
________________________________________
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ___________)*
Calmare Therapeutics
________________________________________
(Name of Issuer)
Common Stock
________________________________________
(Title of Class of Securities)
204512107
________________________________________
(CUSIP Number)
December 31, 2015
________________________________________
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this
Schedule is filed:
[ x] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] Rule 13d-1(d)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities,
and for any subsequent amendment containing information which would alter the
disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the
Act but shall be subject to all other provisions of the Act (however,
see the Notes).
CUSIP No. 204512107
________________________________________
-----------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Bard Associates, Inc. 36-3452497
------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) / /
(b) / /
--------------------------------------------------------------------------------
3. SEC Use Only
--------------------------------------------------------------------------------
4. Citizenship or Place of Organization
Illinois
--------------------------------------------------------------------------------
Number of 5. Sole Voting Power
Shares
Beneficially 750,000
Owned by ---------------------------------------------
Each Reporting 6. Shared Voting Power
Person with
0
---------------------------------------------
7. Sole Dispositive Power
3,750,025
---------------------------------------------
8. Shared Dispositive Power
0
---------------------------------------------
----------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
3,750,025
----------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) / /
-----------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9)
12.6%
-----------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
IA
-----------------------------------------------------------------------------
ITEM 1.
(a) Name of Issuer
Calmare Therapeutics
-----------------------------------------------------------------------------
(b) Address of Issuer's Principal Executive Offices
1375 Kings Highway East
Fairfield, CT 06824
------------------------------------------------------------------------------
ITEM 2.
(a) Name of Person Filing
Bard Associates, Inc.
-----------------------------------------------------------------------------
(b) Address of Principal Business Office or, if none, Residence
135 South LaSalle Street, Suite 3700
Chicago, IL 60603
-----------------------------------------------------------------------------
(c) Citizenship
United States
-----------------------------------------------------------------------------
(d) Title of Class of Securities
Common Stock, Warrants
------------------------------------------------------------------------------
(e) CUSIP Number
204512107
------------------------------------------------------------------------------
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS
240.13d-1(b) or 240.13d-2(b) or (c), CHECK WHETHER THE
PERSON FILING IS A:
(a) / / Broker or dealer registered under section 15 of
The Act (15 U.S.C. 78o).
(b) / / Bank as defined in section 3(a)(6) of the Act
(15 U.S.C. 78c).
(c) / / Insurance company as deined in section 3(a)(19)
Of the Act (15. U.S.C. 78c).
(d) / / Investment company registered under section 8 of
The Investment Company Act of 1940 (15 U.S.C. 80a-8).
(e) / x / An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
(f) / / An employee benefit plan or endowment fund in
accordance with Section 240.13d-1(b)(1)(ii)(F);
(g) / / A parent holding company or control person in
accordance with Section 240.13d-1(b)(1)(1)(ii)(G);
(h) / / A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) / / A church plan that is excluded from the definition
of an Investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15. U.S.C. 80a-3);
(j) / / Group, in accordance with Section
240.13d-1(b)(1)(ii)(J).
-------------------------------------------------------
ITEM 4. OWNERSHIP
The amount of shares beneficially owned set forth in Item 4(a) is
comprised of 2,500,025 common shares and 1,250,000 warrants.
The information reported below in the Item 4 is as of December 31, 2015.
The percentage set forth in Item 4(b) is calculated based on the
28,395,888 shares of the Issuer's Common Stock outstanding as of
November 30,2015,as reported in the Issuer's Form 10-Q for the period
ended June 30, 2105 (filed December 2, 2015) plus the 1,250,000
warrants held by Bard.
(a) Amount beneficially owned:
3,750,025
(b) Percent of Class
12.6%
(c) Number of shares as to which the person has:
(i) Sole power to vote or to direct the vote
750,000
-----------------------------------------------------
(ii) Shared power to vote or to direct the vote
0
------------------------------------------------------
(iii) Sole power to dispose or to direct the disposition of
3,750,025
-------------------------------------------------------
(iv) Shared power to dispose or to direct the disposition of
0
---------------------------------------------------------
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof
The reporting person has ceased to be the beneficial owner of more than five
Percent of the class of securities, check the following / /.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF
ANOTHER PERSON
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY
WHICH ACQUIRED THE SECURITY BEING REPORTED ON
BY THE PARENT HOLDING COMPANY OR CONTROL PERSON
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE
GROUP
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
ITEM 10.CERTIFICATION
By signing below I certify that, to the best of my knowledge and belief,
the securities referred to above were acquired and are held in the
ordinary course of business and were not acquired and are not held for
the purpose of or with the effect of changing or influencing the control of
the issuer of the securities and were not acquired and are not held in
connection with or as a participant in any transaction having that purpose
or effect.
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief,
I certify that the information set forth in this statement is true,
complete and correct.
1/29/2016
--------------------------------------------
Date
/s/ Timothy B. Johnson
----------------------------------------------
Signature
Timothy B. Johnson/ President
-----------------------------------------------------
Name/Title