1 The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosure provided in a prior cover page. | The information required on 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 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 notes). |
CUSIP No.: 876140104
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13D | Page 2 of 9 Pages |
1. NAME OF REPORTING PERSONS:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
William E. Shell, MD
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
(a) ¨
(b) x
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3. SEC USE ONLY
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4. SOURCE OF FUNDS*
OO-Merger Transaction
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5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
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6. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
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7. SOLE VOTING POWER
-0-
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8. SHARED VOTING POWER
9,419,051 (See Item 4)
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9. SOLE DISPOSITIVE POWER
-0-
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10. SHARED DISPOSITIVE POWER
9,419,051 (See Item 4)
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11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
9,419,051 (See Item 4)
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12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
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13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
42.94% (See Item 4)
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14. TYPE OF REPORTING PERSON:
IN
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CUSIP No.: 876140104
|
13D | Page 3 of 9 Pages |
1. NAME OF REPORTING PERSONS:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Elizabeth Charuvastra
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|
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
(a) ¨
(b) x
|
|
3. SEC USE ONLY
|
|
4. SOURCE OF FUNDS*
OO-Merger Transaction
|
|
5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
|
|
6. CITIZENSHIP OR PLACE OF ORGANIZATION:
United States
|
|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
|
|
7. SOLE VOTING POWER
-0-
|
|
8. SHARED VOTING POWER
9,419,051 (See Item 4)
|
|
9. SOLE DISPOSITIVE POWER
-0-
|
|
10. SHARED DISPOSITIVE POWER
9,419,051 (See Item 4)
|
|
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
9,419,051 (See Item 4)
|
|
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
|
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
42.94% (See Item 4)
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|
14. TYPE OF REPORTING PERSON:
IN
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|
CUSIP No.: 876140104
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13D | Page 4 of 9 Pages |
1. NAME OF REPORTING PERSONS:
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Elizabeth Charuvastra and William Shell Family Trust dated July 27, 2006 and Amended September 29, 2006
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2. CHECK THE APPROPRIATE BOX IF A MEMBER OF GROUP
(a) ¨
(b) x
|
|
3. SEC USE ONLY
|
|
4. SOURCE OF FUNDS*
OO-Merger Transaction
|
|
5. CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) ¨
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|
6. CITIZENSHIP OR PLACE OF ORGANIZATION:
California
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|
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
|
|
7. SOLE VOTING POWER
9,419,051 (See Item 4)
|
|
8. SHARED VOTING POWER
-0-
|
|
9. SOLE DISPOSITIVE POWER
9,419,051 (See Item 4)
|
|
10. SHARED DISPOSITIVE POWER
-0-
|
|
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
9,419,051 (See Item 4)
|
|
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES ¨
|
|
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
42.94% (See Item 4)
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14. TYPE OF REPORTING PERSON:
OO-Trust
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Item 1.
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Security and Issuer.
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Item 2.
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Identity and Background.
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(i)
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Elizabeth Charuvastra and William Shell Family Trust dated July 27, 2006 and Amended September 29, 2006, California;
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(ii)
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William E. Shell, MD: United States of America;
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(iii)
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Elizabeth Charuvastra: United States of America.
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Item 3.
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Source and Amount of Funds or Other Consideration.
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Item 4.
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Purpose of Transaction.
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Item 5.
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Interest in Securities of the Issuer.
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(i)
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Aggregate number of shares of Common Stock that may be deemed beneficially owned by the EC and WS Family Trust: 9,419,051 Percentage: 42.94%
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(ii)
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Aggregate number of shares of Common Stock that may be deemed beneficially owned by William E. Shell, MD: 9,419,051; Percentage: 42.94%
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(iii)
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Aggregate number of shares of Common Stock that may be deemed beneficially owned by Elizabeth Charuvastra: 9,419,051 Percentage: 42.94%
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(i)
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1.
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Sole power to vote or to direct vote: 9,419,051
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2.
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Shared power to vote or to direct vote: -0-
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3.
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Sole power to dispose or to direct the disposition: 9,419,051
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4.
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Shared power to dispose or to direct the disposition -0-
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(ii)
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1.
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Sole power to vote or to direct vote: -0-
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2.
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Shared power to vote or to direct vote: 9,419,051
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3.
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Sole power to dispose or to direct the disposition: -0-
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4.
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Shared power to dispose or to direct the disposition 9,419,051
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(iii)
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1.
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Sole power to vote or to direct vote: -0-
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2.
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Shared power to vote or to direct vote: 9,419,051
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3.
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Sole power to dispose or to direct the disposition: -0-
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4.
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Shared power to dispose or to direct the disposition 9,419,051
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Item 6.
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Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer.
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Item 7.
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Material to be Filed as Exhibits.
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10.1
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Agreement and Plan of Reorganization (the “Merger Agreement”), by and among AFH Acquisition III, Inc. (“AFH”), TMP Merger Sub, Inc. (“TMP Merger Sub”), AFH Merger Sub, Inc. (“AFH Merger Sub”), AFH Holding and Advisory, LLC (“AFH Advisory”), Targeted Medical Pharma, Inc. (“TMP”), William E. Shell, MD, Elizabeth Charuvastra and Kim Giffoni (incorporated by reference to Exhibit 2.1 to the Current Report on Form 8-K filed by the Comapny on event date herewith)
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By:
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/s/ William E. Shell
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Name: William E. Shell, MD, Co-Trustee
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/s/ William E. Shell
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William E. Shell, MD
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/s/ Elizabeth Charuvastra
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Elizabeth Charuvastra
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By:
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/s/ William E. Shell
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Name: William E. Shell, MD
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Title: Co-Trustee
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/s/ William E. Shell
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William E. Shell, MD
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/s/ Elizabeth Charuvastra
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Elizabeth Charuvastra
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