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