-----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, KIVLNpPVsdYxGx5MVkI8/YbmaePbu0ZlDkH6uILSY3fhqaPvUTyyBtAKRR+Mk/LX SRRzhPj14dcmY0scdvh7Gg== 0000109657-10-000016.txt : 20100325 0000109657-10-000016.hdr.sgml : 20100325 20100325155748 ACCESSION NUMBER: 0000109657-10-000016 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091023 FILED AS OF DATE: 20100325 DATE AS OF CHANGE: 20100325 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DUBE ANSHUMAN CENTRAL INDEX KEY: 0001223658 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-08092 FILM NUMBER: 10704635 MAIL ADDRESS: STREET 1: 555 SOUTH FLOWER ST STREET 2: SUITE 4500 CITY: LOS ANGELES STATE: CA ZIP: 90071 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: OXIS INTERNATIONAL INC CENTRAL INDEX KEY: 0000109657 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 941620407 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 468 N. CAMDEN DR. STREET 2: 2ND FLOOR CITY: BEVERLY HILLS STATE: CA ZIP: 90210 BUSINESS PHONE: (310) 551-4020 MAIL ADDRESS: STREET 1: 468 N. CAMDEN DR. STREET 2: 2ND FLOOR CITY: BEVERLY HILLS STATE: CA ZIP: 90210 FORMER COMPANY: FORMER CONFORMED NAME: DDI PHARMACEUTICALS INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: DIAGNOSTIC DATA INC /DE/ DATE OF NAME CHANGE: 19850312 3 1 primary_doc.xml PRIMARY DOCUMENT X0203 3 2009-10-23 0 0000109657 OXIS INTERNATIONAL INC OXIS.OB 0001223658 DUBE ANSHUMAN 2049 CENTURY PARK EAST SUITE 3630 LOS ANGELES CA 90067 1 0 1 0 Series H Convertible Preferred Stock Common Stock I Theorem Group, LLC 0% Convertible Debenture 0.05 2009-10-01 2011-09-30 Common Stock 1800000 I Theorem Group, LLC Series A Warrant 0.0625 2009-10-01 2014-09-30 Common Stock 1800000 I Theorem Group, LLC Series B Warrant 0.075 2009-10-01 2014-09-30 Common Stock 1800000 I Theorem Group, LLC Exercisable at any time. No expiration date. The number of shares into which one share of Series H Preferred Stock is convertible is determined by dividing the Stated Value of $1.00 per share by the lesser of (a) $0.01 and (b) 60% of the average of the 3 lowest trading prices occurring at any time during the 20 trading days preceding conversion, provided that the holder does not at any time beneficially own more than 9.9% of the Issuer's Common Stock then outstanding. Although the terms of the Series H Preferred Stock limits the holder's ability to convert its shares, the holder is currently entitled to vote the Series H Preferred Stock on an as converted basis multiplied by 100, or 250,000,000 shares of Common Stock. The reporting person is a managinig director of Theorem Group, LLC. The reporting person disclaims beneficial ownership of the securities held by Theorem Group, LLC, except to the extent of his pecuniary interest therein. Theorem Group purchased the 0% convertible debenture in the principal amount of $90,000, and is convertible into Common Stock provided that the holder does not at any time beneficially own more than 4.99% of the Issuer's Common Stock then outstanding. This limitation may be waived upon 61 days' prior notice to the Issuer, provided that in no event shall the limitation exceed 9.9%. The Series A Warrant and Series B Warrant are exercisable into Common Stock provided that the holder does not at any time beneficially own more than 4.99% of the Issuer's Common Stock then outstanding. This limitation may be waived upon 61 days' prior notice to the Issuer, provided that in no event shall the limitation exceed 9.99%. /s/ Anshuman Dube 2010-03-24 -----END PRIVACY-ENHANCED MESSAGE-----