Initial Statement of Beneficial Ownership (3)
April 04 2014 - 1:05PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Tradewinds Capital, L.P.
|
2. Date of Event Requiring Statement (MM/DD/YYYY)
4/2/2014
|
3. Issuer Name
and
Ticker or Trading Symbol
STAR SCIENTIFIC INC [STSI]
|
(Last)
(First)
(Middle)
C/O TRADEWINDS INVESTMENT MANAGEMENT, LP, THREE HARBOR DRIVE, SUITE 213
|
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
_____ 10% Owner
_____ Officer (give title below)
___
X
___ Other (specify below)
/ See Remarks
|
(Street)
SAUSALITO, CA 94965
(City)
(State)
(Zip)
|
5. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Beneficially Owned
|
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)
|
Common Stock
|
4045553
(1)
|
I
|
By Tradewinds Capital, L.P.
|
Common Stock
|
1579498
(1)
|
I
|
By Tradewinds Fund (Cayman), Ltd.
|
Common Stock
|
11982508
(2)
|
I
|
By Robert W. Scannell
(2)
|
Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security
(Instr. 4)
|
2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
|
3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
|
4. Conversion or Exercise Price of Derivative Security
|
5. Ownership Form of Derivative Security: 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
|
Explanation of Responses:
|
(
1)
|
Acquired through a pro rata distribution for no consideration in connection with the liquidation of Tradewinds Master Fund (BVI), Ltd.
|
(
2)
|
Consists of: 6,357,457 shares held by Feehan Partners, L.P. ("Feehan"); 1,579,498 shares held by Tradewinds Fund (Cayman), Ltd. ("Tradewinds Cayman"); and 4,045,553 shares held by Tradewinds Capital, L.P. ("Tradewinds Capital"). Mr. Scannell is the General Partner of Feehan. Mr. Scannell is the Managing Member of the general partner of Tradewinds Capital and the Co-General Partner of the investment manager of Tradewinds Capital and, as such, may be deemed to share voting and investment power over the shares held by Tradewinds Capital. Mr. Scannell is a director of Tradewinds Cayman and the General Partner of the investment manager of Tradewinds Cayman and, as such, may be deemed to share voting and investment power over the shares held by Tradewinds Cayman. Mr. Scannell disclaims beneficial ownership of the shares held by Tradewinds Capital and Tradewinds Cayman, except to the extent of his pecuniary interest therein, if any.
|
Remarks:
New members of group that, in aggregate, holds over 10% of STSI
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Tradewinds Capital, L.P.
C/O TRADEWINDS INVESTMENT MANAGEMENT, LP
THREE HARBOR DRIVE, SUITE 213
SAUSALITO, CA 94965
|
|
|
|
See Remarks
|
Tradewinds Fund (Cayman), Ltd.
C/O TRADEWINDS INVESTMENT MANAGEMENT, LP
THREE HARBOR DRIVE, SUITE 213
SAUSALITO, CA 94965
|
|
X
|
|
|
Scannell Robert
C/O TRADEWINDS INVESTMENT MANAGEMENT, LP
THREE HARBOR DRIVE, SUITE 213
SAUSALITO, CA 94965
|
|
X
|
|
|
Signatures
|
TRADEWINDS FUND (CAYMAN), LTD., By: /s/ Jay B. Gould, Jay B. Gould, Attorney-in-Fact
|
|
4/4/2014
|
**
Signature of Reporting Person
|
Date
|
TRADEWINDS CAPITAL, L.P., By: /s/ Jay B. Gould, Jay B. Gould, Attorney-in-Fact
|
|
4/4/2014
|
**
Signature of Reporting Person
|
Date
|
ROBERT W. SCANNELL, By: /s/ Jay B. Gould, Jay B. Gould, Attorney-in-Fact
|
|
4/4/2014
|
**
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 control number.
|