SEC Form 3
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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3235-0104 |
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February 28, 2011 |
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0.5 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year)
01/13/2009 |
3. Issuer Name and Ticker or Trading Symbol
DAIS ANALYTIC CORP
[ DLYT.OB ]
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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5. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
| X |
Form filed by One Reporting Person |
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Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Beneficially Owned
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| 1. Title of Security (Instr.
4)
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2.
Amount of Securities Beneficially Owned (Instr.
4)
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3. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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4. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Common Stock |
147,800 |
D |
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| Common Stock |
20,000 |
I |
By spouse |
Table II - Derivative Securities Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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| 1. Title of Derivative Security (Instr.
4)
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2. Date Exercisable and Expiration Date
(Month/Day/Year)
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3. Title and Amount of Securities Underlying Derivative Security (Instr.
4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form: Direct (D) or Indirect (I) (Instr.
5)
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6. Nature of Indirect Beneficial Ownership (Instr.
5)
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| Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
| Option - 2000 Incentive Compensation Plan (right to buy) |
09/24/2004 |
09/24/2014 |
Option - Common Stock |
395,000 |
0.26 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
05/10/2005 |
05/10/2015 |
Option - Common Stock |
278,058 |
0.1 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
10/01/2005 |
10/01/2015 |
Option - Common Stock |
140,000 |
0.1 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
11/01/2006 |
11/01/2016 |
Option - Common Stock |
125,000 |
0.55 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
08/18/2007 |
08/18/2017 |
Option - Common Stock |
350,000 |
0.21 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
01/30/2008 |
01/30/2018 |
Option - Common Stock |
300,000 |
0.21 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
08/04/2008 |
08/04/2018 |
Option - Common Stock |
250,000 |
0.3 |
D |
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| Option - 2000 Incentive Compensation Plan (right to buy) |
09/24/2004 |
09/24/2014 |
Option - Common Stock |
825,000 |
0.26 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
05/10/2005 |
05/10/2015 |
Option - Common Stock |
150,000 |
0.1 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
10/01/2005 |
10/01/2015 |
Option - Common Stock |
120,000 |
0.1 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
05/02/2006 |
05/02/2016 |
Option - Common Stock |
40,000 |
0.3 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
11/01/2006 |
11/01/2016 |
Option - Common Stock |
110,000 |
0.55 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
02/20/2007 |
02/20/2017 |
Option - Common Stock |
140,000 |
0.55 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
08/18/2007 |
08/18/2017 |
Option - Common Stock |
300,000 |
0.21 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
01/30/2008 |
01/30/2018 |
Option - Common Stock |
350,000 |
0.21 |
I |
By Spouse |
| Option - 2000 Incentive Compensation Plan (right to buy) |
08/04/2008 |
08/04/2018 |
Option - Common Stock |
75,000 |
0.3 |
I |
By Spouse |
| Warrant (right to buy) |
04/08/2008 |
04/08/2013 |
Warrant- Common Stock |
3,000,000 |
0.36 |
I |
By Spouse |
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Explanation of Responses:
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Remarks:
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Scott G. Ehrenberg for Patricia Kelly Tangredi, Attorney-In-Fact
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02/18/2009
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** 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. |
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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 Number.
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Exhibit
24
POWER OF
ATTORNEY
KNOWN
ALL PERSONS BY THESE PRESENTS, that the undersigned hereby makes, constitutes
and appoints Timothy N. Tangredi and Scott G. Ehrenberg, and each of them acting
alone, as my true and lawful attorneys-in-fact and agents, each with full power
of substitution and re-substitution, for and on my behalf and in my name, place
and stead, (a) to prepare, execute and file any and all Forms ID, requests,
confirmations, and to otherwise obtain access to the EDGAR system of, the
Securities and Exchange Commission (the "SEC"), (b) to prepare, execute and
timely file with the SEC any and all Forms 3, Forms 4 and/or Forms 5, and any
and all amendments or modifications thereto, required to be filed with the SEC
under the Securities Exchange Act of 1934 and the rules and regulations
promulgated thereunder, all as amended, and with any stock exchange or similar
body relative to my beneficial ownership of and transactions in securities of
Dais Analytic Corporation, Inc. (the "Company"), a New York corporation, and (c)
to do or cause to be done any and all other acts and things whatsoever as fully
and to all intents and purposes which I might or could do in person or which any
of the above-named attorneys-in-fact and agents may deem necessary or advisable
to be done with respect to such Forms, and any and all amendments or
modifications thereto, pursuant to the power granted by this Power of Attorney;
hereby approving, ratifying and confirming all acts and things hereafter
lawfully done, or cause to be done, by any of the above-named attorneys-in-fact
and agents by virtue hereof.
As
an inducement to the above-named persons to act as attorneys-in-fact and agents
hereunder, the undersigned hereby agrees (a) to reimburse, defend, indemnify and
hold harmless such persons for, from and in respect of any and all liabilities,
claims, damages, judgments, settlements, fines, penalties, costs and expenses
(including, without limitation, reasonable attorneys' fees and expenses) that
result from, relate to or arise out of any good faith act or omission of any or
all of such persons in connection with the preparation, execution and filing
with the SEC of any and all Forms 3, Forms 4 and/or Forms 5, and any amendment
or modification thereto, and any other act or thing lawfully done or caused to
be done, pursuant to this Power of Attorney, provided that such act or omission
does not constitute willful misconduct, and (b) to notify the Company in a
timely manner of all transactions in and changes to my beneficial ownership of
securities of the Company so as to enable the above-named attorneys-in-fact and
agents to act pursuant to this Power of Attorney. The undersigned understands
and agrees that the above-named attorneys-in-fact and agents, in serving in such
capacities at my request, are not assuming nor is the Company assuming any of
the undersigned's responsibilities to comply with Section 16 of the Securities
Exchange Act of 1934 or the rules and regulations promulgated thereunder, all as
amended, or with the requirements of any stock exchange or similar
body.
This
Power of Attorney shall become effective on the date indicated below and shall
continue in full force and effect until the undersigned is no longer required to
file any Form 3, Form 4 or Form 5 with the SEC or any stock exchange or similar
body, unless the undersigned has earlier revoked this Power of Attorney by a
signed writing delivered to each of the above-named attorneys-in-fact and
agents.
IN
WITNESS WHEREOF, I have executed this Power of Attorney as of the date set forth
below.
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Date:
February 11, 2009
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By:
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/s/ Patricia K.
Tangredi
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Patricia
K. Tangredi |
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