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1.
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Names of Reporting Persons: REF Securities & Co.
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IRS Identification No.: 13-3642824
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2.
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Check the Appropriate Box if a Member of a Group
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(a)
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[ X ]
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(b)
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[ ]
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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: Connecticut
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5.
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Sole Voting Power: 286,718 (includes 20,000 warrants)
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6.
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Shared Voting Power: 0
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7.
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Sole Dispositive Power: 286,718 (includes 20,000 warrants)
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8.
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Shared Dispositive Power: 0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person: 286,718 (includes 20,000 warrants)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ]
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11.
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Percent of Class Represented by Amount in Row (9): 10.4%
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12.
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Type of Reporting Person: CO
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1.
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Names of Reporting Persons: Rodd Friedman, Managing Partner and majority owner of REF Securities & Co.
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2.
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Check the Appropriate Box if a Member of a Group
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(c)
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[ X ]
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(d)
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[ ]
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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: U.S.A.
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5.
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Sole Voting Power: 316,818 (includes 286,718 shares and warrants owned by REF Securities & Co.)
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6.
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Shared Voting Power: 0
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7.
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Sole Dispositive Power: 316,818 (includes 286,718 shares and warrants owned by REF Securities & Co.)
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8.
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Shared Dispositive Power: 0
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9.
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Aggregate Amount Beneficially Owned by Each Reporting Person: 316,818 (includes 286,718 shares and warrants owned by REF Securities & Co.)
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10.
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Check if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ]
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11.
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Percent of Class Represented by Amount in Row (9): 11.5%
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12.
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Type of Reporting Person: IN
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(a)
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Name of Person Filing:
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REF Securities & Co.
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Rodd Friedman
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(b)
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Address of Principal Business Office:
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REF Securities & Co. – 12 South Main Street, Suite 203, Norwalk, CT 06854
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Rodd Friedman - 12 South Main Street, Suite 203, Norwalk, CT 06854
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(e)
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Citizenship:
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REF Securities & Co. - Incorporated under the laws of Connecticut
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Rodd Friedman – U.S.A.
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(f)
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Title of Class of Securities: Common Stock, par value $ 0.01 per share
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(g)
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CUSIP Number: 042698308
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(a)
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Amount beneficially owned:
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REF Securities & Co. – 286,718 (includes 20,000 warrants)
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Rodd Friedman – 316,818 (includes 286,718 shares and warrants owned by REF Securities & Co.)
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(b)
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Percent of class:
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REF Securities & Co. – 10.4%
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Rodd Friedman – 11.5%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
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REF Securities & Co. – 286,718 (includes 20,000 warrants)
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Rodd Friedman – 316,818 (includes 286,718 shares and warrants owned by REF Securities & Co.)
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(ii)
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Shared power to vote or to direct the vote:
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(iii)
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Sole power to dispose or to direct the disposition of:
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(iv)
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Shared power to dispose or to direct the disposition of:
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Date: September 14, 2015 | |||
REF Securities & Co. | |||
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By:
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/s/ Rodd Friedman | |
Rodd Friedman, its Managing Partner | |||
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/s/ Rodd Friedman | ||
Rodd Friedman, individually | |||