-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AK0FJhzwo3NsTot6/hGCOB6PAIRa2hiZRiCyKw/XitmKN/mpLpFNnbrPyggVOxEk DSQwGKS4zzPXww3oaq4Stg== 0001144204-10-001909.txt : 20100113 0001144204-10-001909.hdr.sgml : 20100113 20100113215026 ACCESSION NUMBER: 0001144204-10-001909 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100111 FILED AS OF DATE: 20100113 DATE AS OF CHANGE: 20100113 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ANGELO MARK CENTRAL INDEX KEY: 0001271848 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21743 FILM NUMBER: 10526346 MAIL ADDRESS: STREET 1: 101 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER NAME: FORMER CONFORMED NAME: ANGELO MARC DATE OF NAME CHANGE: 20031202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YORKVILLE ADVISORS LLC CENTRAL INDEX KEY: 0001271849 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21743 FILM NUMBER: 10526347 BUSINESS ADDRESS: BUSINESS PHONE: 201 985 8300 MAIL ADDRESS: STREET 1: 101 HUDSON STREET CITY: JERSEY CITY STATE: NJ ZIP: 07302 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: NEOMEDIA TECHNOLOGIES INC CENTRAL INDEX KEY: 0001022701 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 363680347 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: CORPORATE CENTER II,SUITE 500 STREET 2: TWO CONCOURSE PARKWAY CITY: ATLANTA, STATE: GA ZIP: 30328 BUSINESS PHONE: 678-638-0460 MAIL ADDRESS: STREET 1: CORPORATE CENTER II,SUITE 500 STREET 2: TWO CONCOURSE PARKWAY CITY: ATLANTA, STATE: GA ZIP: 30328 FORMER COMPANY: FORMER CONFORMED NAME: DEVSYS INC DATE OF NAME CHANGE: 19960911 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: YA Global Investments CENTRAL INDEX KEY: 0001132874 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21743 FILM NUMBER: 10526348 BUSINESS ADDRESS: STREET 1: 101 HUDSON STREET STREET 2: SUITE 3606 CITY: JERSEY CITY STATE: NJ ZIP: 07302 BUSINESS PHONE: (201) 985-8300 MAIL ADDRESS: STREET 1: 101 HUDSON STREET STREET 2: SUITE 3606 CITY: JERSEY CITY STATE: NJ ZIP: 07302 FORMER NAME: FORMER CONFORMED NAME: CORNELL CAPITAL PARTNERS LP DATE OF NAME CHANGE: 20010119 3 1 v171353_ex.xml X0203 3 2010-01-11 0 0001022701 NEOMEDIA TECHNOLOGIES INC NEOM 0001132874 YA Global Investments 101 HUDSON STREET SUITE 3700 JERSEY CITY NJ 07302 0 0 1 0 0001271849 YORKVILLE ADVISORS LLC 101 HUDSON STREET SUITE 3700 JERSEY CITY NJ 07302 0 0 1 0 0001271848 ANGELO MARK 101 HUDSON STREET SUITE 3700 JERSEY CITY NJ 07302 0 0 1 0 Warrant 0.01 2013-07-29 Common Stock 125000000 D Warrant 0.01 2017-01-05 Common Stock 225000000 D These derivative securities are presently exercisable, however each of the identified derivative securities has a cap, which prevents the holder of each derivative security from converting and/or exercising it if such conversion and/or exercise would cause the aggregate number of shares of Common Stock beneficially owned by such holder and its affiliates to exceed 4.99% of the outstanding shares of the Common Stock following such conversion and/or exercise of the derivative security. As the Investment Manager of YA Global, Yorkville Advisors, LLC ("Yorkville") may be deemed to beneficially own the warrant beneficially owned by YA Global. As the president of Yorkville, the investment manager to YA Global, and as the portfolio manager to YA Global, Mark Angelo ("Angelo") may be deemed to beneficially own the put option right beneficially owned by YA Global. Except for the 36,331,729 shares of Common Stock and the Derivative Securities beneficially owned by YA Global, the other Reporting Persons disclaim beneficial ownership of these securities except to the extent of his or its pecuniary interest, and its report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of these securities for the purpose of Section 16 or for any other purpose. These derivative securities are presently exercisable, however each of the identified derivative securities has a cap, which prevents the holder of each derivative security from converting and/or exercising it if such conversion and/or exercise would cause the aggregate number of shares of Common Stock beneficially owned by such holder and its affiliates to exceed 9.99% of the outstanding shares of the Common Stock following such conversion and/or exercise of the derivative security. This report is filed jointly by YA Global Investments, L.P., Yorkville Advisors, LLC and Mark Angelo. /s/ Steven S. Goldstein By: Yorkville Advisors, LLC By: Steven S. Goldstein Its: Investment Manager 2010-01-12 /s/ Steven S. Goldstein By: Yorkville Advisors, LLC By: Steven S. Goldstein Its: Investment Manager 2010-01-12 /s/ Mark Angelo 2010-01-12 -----END PRIVACY-ENHANCED MESSAGE-----