UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 10549
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1. | Name of Reporting Persons/
I.R.S. Identification Nos. of above persons (entities only).
Susan Sweeney Hermon
I.R.S. Identification No. – Not applicable
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2. |
Check the Appropriate Box if a Member of a Group
(a) o
(b) o
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3. | SEC Use Only |
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4. |
Place of Organization
Canadian
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Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With:
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5. |
Sole Voting Power
1,365,834
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6. |
Shared Voting Power
0
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7. |
Sole Dispositive Power
1,365,834
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8. |
Shared Dispositive Power
0
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9. |
Aggregate Amount Beneficially Owned by Each Reporting Person
1,365,834
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10. |
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o
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11. |
Percent of Class Represented by Amount in Row (9)
3.2%
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12. |
Type of Reporting Person :
IN
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This filing statement is being filed by Susan Sweeney Hermon (“Hermon”); and is sometimes referred to as a Reporting Person.
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(a)-(c) The responses of the Reporting Person to items 5 through 11 on the cover page are incorporated herein by reference. As of the close of business on December 31, 2012, the Reporting Person’s aggregate beneficial ownership of Common Stock, including an aggregate of 225,000 shares of Common Stock issuable upon the exercise of common stock warrants held by the Reporting Persons, was 1,365,834 shares. Of this amount, 183,124 shares of Common Stock were held by Hermon directly; 547,218 shares of Common Stock were held directly by the Estate of William Richard Hermon (the “Estate”); 137,890 shares of Common Stock were held by Gullrock Investments Inc. (”Gullrock”); 4,500 shares of Common Stock were held by 3780694 Canada Inc. (“3780694”); and 493,102 shares of Common Stock were held by Ficor Resources Inc., (“Ficor”). The foregoing amounts include: 75,000, 50,000, 50,000, nil and 50,000 shares issuable upon the exercise of common stock warrants owned by Hermon, the Estate, Gullrock, 3780694 and Ficor, respectively.
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Hermon exercises sole voting and dispositive power over shares of Common Stock held by each of Hermon, the Estate, Gullrock and 3780694, respectively.
Gullrock and 3780694 are investment holding companies controlled by the Estate, for which Hermon serves as a Trustee. Hermon has beneficial ownership (but not voting and dispositive power) over shares of Common Stock held by Ficor, an investment holding company. Hermon is a beneficiary of the Estate which owns a non-controlling equity interest in Ficor.
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If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x.
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NA
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NA
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(b)
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
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s/ Susan Sweeney Hermon
Susan Sweeney Hermon
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