0001437749-14-017886.txt : 20141002 0001437749-14-017886.hdr.sgml : 20141002 20141002172143 ACCESSION NUMBER: 0001437749-14-017886 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140113 FILED AS OF DATE: 20141002 DATE AS OF CHANGE: 20141002 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: AtheroNova Inc. CENTRAL INDEX KEY: 0001377053 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 201915083 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2301 DUPONT DRIVE, SUITE 525 CITY: IRVINE STATE: CA ZIP: 92612 BUSINESS PHONE: (949) 525-5471 MAIL ADDRESS: STREET 1: 2301 DUPONT DRIVE, SUITE 525 CITY: IRVINE STATE: CA ZIP: 92612 FORMER COMPANY: FORMER CONFORMED NAME: AtheroNova, Inc. DATE OF NAME CHANGE: 20100519 FORMER COMPANY: FORMER CONFORMED NAME: Trist Holdings, Inc. DATE OF NAME CHANGE: 20080103 FORMER COMPANY: FORMER CONFORMED NAME: LandBank Group Inc DATE OF NAME CHANGE: 20061002 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Knoll Capital Management, LP CENTRAL INDEX KEY: 0001325083 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-52315 FILM NUMBER: 141137525 BUSINESS ADDRESS: STREET 1: 5 EAST 44TH STREET STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-808-7474 MAIL ADDRESS: STREET 1: 5 EAST 44TH STREET STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 4 1 rdgdoc.xml FORM 4 X0306 4 2014-01-13 0001377053 AtheroNova Inc. AHRO 0001325083 Knoll Capital Management, LP 5 EAST 44TH STREET, SUITE 12 NEW YORK NY 10017 1 8% Senior Secured Convertible Note 1.11 2014-09-12 4 P 0 1 A 2014-09-12 2015-09-12 Common Stock 90091 1 I By Europa International, Inc. Common Stock Purchase Warrant 2 2014-09-12 4 P 0 1 A 2014-09-12 2019-09-12 Common Stock 45045 1 I By Europa International, Inc. Europa International, Inc. purchased the note and warrant for aggregate consideration of $100,000 from the Registrant. The note is convertible at the sole option of the Registrant. Conversion of the note and exercise of the warrant are subject to a beneficial ownership cap of 4.99%. The reporting person, the investment manager for Europa International, Inc., exercises voting and dispositive power over the shares held by Europa International, Inc. but disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. /s/ Fred Knoll, Principal 2014-10-01