FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 06/14/2010 |
3. Issuer Name and Ticker or Trading Symbol
PARLUX FRAGRANCES INC [ PARL ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 06/23/2010 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Beneficially Owned | |||
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1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (right to buy) | (1) | 04/07/2017(2) | Common Stock, $0.01 par value | 490,000 | $5 | I | By Carolina Marie Garcia 2006 Family Trust(3) |
Warrant (right to buy) | (1) | 12/18/2017(2) | Common Stock, $0.01 par value | 320,000 | $5 | I | By Carolina Marie Garcia 2006 Family Trust(3) |
Warrant (right to buy) | (1) | 04/07/2017(2) | Common Stock, $0.01 par value | 490,000 | $5 | I | By Jacqueline Marie Garcia 2006 Family Trust(3) |
Warrant (right to buy) | (1) | 12/18/2017(2) | Common Stock,$0.01 par value | 320,000 | $5 | I | By Jacqueline Marie Garcia 2006 Family Trust(3) |
Warrant (right to buy) | (1) | 04/07/2017(2) | Common Stock, $0.01 par value | 490,000 | $5 | I | By Irrevocable Trust for Victor Garcia(3) |
Warrant (right to buy) | (1) | 12/18/2017(2) | Common Stock, $0.01 par value | 320,000 | $5 | I | By Irrevocable Trust for Victor Garcia(3) |
Warrant (right to buy) | (1) | 04/07/2017(2) | Common Stock, $0.01 par value | 1,470,000 | $5 | I | By Carolina Marie Garcia, as Co-Trustee of the above trusts(3) |
Warrant (right to buy) | (1) | 12/18/2017(2) | Common Stock, $0.01 par value | 960,000 | $5 | I | By Carolina Marie Garcia, as Co-Trustee of the above trusts(3) |
Explanation of Responses: |
1. These warrants vest 25% on each of the first, second, third and fourth anniversaries of the date of grant |
2. Pursuant to the terms of the warrants, under certain circumstances the expiration date of the warrants may be accelerated to the fifth anniversary of the date of grant. |
3. Carolina Marie Garcia is a co-trustee of these trusts and has sole dispostive and voting power of the Parlux securities held by the trusts and therefore may be deemed to indirectly own the securities held directly by the trusts. Ms. Garcia disclaims beneficial ownership of the shares directly owned by the trusts except to the extent of her pecuniary interest therein. |
Remarks: |
This Form 3/A is being filed to correct the expiration date of the warrants listed in Table II and to attach a power of attorney. |
Mark F. Coldwell, Attorney-in-Fact for JM-CO Capital Fund, LLC | 06/30/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |