- Statement of Ownership (SC 13G)
February 08 2011 - 9:34AM
Edgar (US Regulatory)
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
TORVEC, INC.
(Name of Issuer)
$.01 PAR VALUE COMMON
(Title of Class of Securities)
891479107
(CUSIP Number)
JANUARY 27, 2011
(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)
þ
Rule 13d-1(c)
o
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
RICHARD A. KAPLAN
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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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3,000,000 (1)
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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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3,000,000 (1)
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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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3,000,000 (1)
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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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6.17%(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) Represents 3,000,000 common shares which may be acquired for $.36 per share upon the
exercise of a ten year non-qualified stock option ratified by the company's shareholders on January
27, 2011.
SCHEDULE 13G/A
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Item 1(a)
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Name of Issuer.
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TORVEC, INC.
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Item 1(b)
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Address of Issuers Principal Executive Offices.
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1999 MOUNT READ BLVD. BUILDING 3, ROCHESTER, NY 14615
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Item 2(a)
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Name of Person Filing.
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RICHARD A. KAPLAN
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Item 2(b)
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Address of Principal Business Office.
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1999 MOUNT READ BLVD. BUILDING 3, ROCHESTER, NY 14615
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Item 2(c)
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Place of Organization.
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ROCHESTER, NEW YORK
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Item 2(d)
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Title of Class of Securities.
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$.01 PAR VALUE COMMON
891479107
RICHARD A. KAPLAN
3,000,000 (1)
(1) Represents 3,000,000 common shares which may be acquired for $.36 per share upon the exercise
of a ten year non-qualified stock option ratified by the companys shareholders on January 27,
2011.
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Item 5
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Ownership of Five Percent or Less of a Class.
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N/A
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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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N/A
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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.
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N/A
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Item 8
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Identification and Classification of Members of the Group.
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N/A
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Item 9
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Notice of Dissolution of Group.
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N/A
N/A
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.
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Date:
February 7, 2011
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Richard A. Kaplan
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