- Statement of Ownership (SC 13G)
February 11 2011 - 2:55PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. __)*
VIA Pharmaceuticals, Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
92554T103
(CUSIP Number)
December 31, 2010
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
o
Rule 13d-1(b)
o
Rule 13d-1(c)
þ
Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.
The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
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1
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NAMES OF REPORTING PERSONS
Lawrence K. Cohen
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2
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
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(a)
o
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(b)
o
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3
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SEC USE ONLY
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4
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CITIZENSHIP OR PLACE OF ORGANIZATION
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United States
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5
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SOLE VOTING POWER
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NUMBER OF
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1,168,050
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SHARES
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6
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SHARED VOTING POWER
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BENEFICIALLY
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OWNED BY
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0
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EACH
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7
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SOLE DISPOSITIVE POWER
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REPORTING
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PERSON
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1,168,050
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WITH:
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8
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SHARED DISPOSITIVE POWER
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0
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9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
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1,168,050
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10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
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o
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11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
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5.5%
1
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12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
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IN
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1
Based on (i) 20,558,446 shares of the Issuers Common Stock outstanding as of
November 9, 2010, as set forth in the Issuers quarterly report on Form 10-Q dated November 15, 2010, (ii) 715,682 shares of the
Issuers Common Stock that may be received upon the exercise of currently exercisable stock options, and (iii) 32,708 shares of the Issuers
Common Stock that may be received upon the exercise of stock options that will become exercisable on February 28, 2011.
Page 2 of 5 Pages
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Item 1(a).
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Name of Issuer:
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VIA Pharmaceuticals, Inc.
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Item 1(b).
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Address of Issuers Principal Executive Offices:
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750 Battery Street, Suite 330
San Francisco, California 94111
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Item 2(a).
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Name of Person Filing:
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Lawrence K. Cohen
Item 2(b). Address of Principal Business Office or, if none, Residence:
750 Battery Street, Suite 330
San Francisco, California 94111
Item 2(c). Citizenship:
United States
Item 2(d). Title of Class of Securities:
Common Stock, $0.001 par value per share
Item 2(e). CUSIP Number:
92554T103
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Item 3.
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If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check
whether the person filing is a:
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Not applicable.
The information in Items 1 and 5 through 11 on the cover page (p. 2) of this Schedule 13G is
hereby incorporated by reference into this Item 4. The number of shares beneficially owned
by Mr. Cohen contained in this Schedule 13G is calculated as of December 31, 2010. The
1,168,050 shares as to which Mr. Cohen has sole voting and dispositive power include 715,682
shares that may be received upon the exercise of currently exercisable stock options and
32,708 shares that may be received upon the exercise of stock options that will become
exercisable on February 28, 2011.
Page 3 of 5 Pages
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Item 5.
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Ownership of Five Percent or Less of a Class.
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Not applicable.
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Item 6.
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Ownership of More than Five Percent on Behalf of Another Person.
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Not applicable.
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Item 7.
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Identification and Classification of the Subsidiary Which Acquired the Security Being
Reported on by the Parent Holding Company or Control Person.
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Not applicable.
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Item 8.
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Identification and Classification of Members of the Group.
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Not applicable.
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Item 9.
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Notice of Dissolution of Group.
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Not applicable.
Not applicable.
Page 4 of 5 Pages
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I certify that the
information set forth in this statement is true, complete and correct.
Date: February 11, 2011
Signature:
/s/ Lawrence K.
Cohen
Name and Title: Lawrence K. Cohen, President & Chief Executive Officer of VIA Pharmaceuticals, Inc.
Page 5 of 5 Pages
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