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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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 control number. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4, and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Underlying Securities (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) |
10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Convertible Promissory Note (1) | $ 1 | 04/10/2014 | A | 3,000,000 | 10/06/2008 | 11/30/2014(1) | Common Stock | 3,000,000 | $ 0 | 3,000,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Water Science, LLC 1800 NW 89TH PLACE MIAMI, FL 33172 |
X |
/s/ Peter F. Ullrich, Sole Member | 04/14/2014 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 4(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). |
(1) | That certain Second Amended and Restated Senior Secured Convertible Promissory Note dated October 6, 2008 (the "Convertible Promissory Note"), issued by EAU Technologies, Inc. (the "Company") for the benefit of the Reporting Person was amended by that certain Second Amendment to the Convertible Promissory Note dated August 27, 2009 (the "Second Amendment"), by extending the maturity date of the Convertible Promissory Note from September 16, 2009 until November 1, 2010. The Second Amendment extends the maturity date of the Convertible Promissory Note as previously extended by the First Amendment to the Convertible Promissory Note dated March 10, 2009, which originally amended the Convertible Promissory Note by extending its maturity date to September 16, 2009. The Convertible Promissory Note was amended on April 10, 2014 to extend the maturity date to November 30, 2014. |