Schuler Henri George 4
4 · VERMILLION, INC. · Filed Apr 19, 2018
Insider Transaction Report
Form 4
VERMILLION, INC.VRML
Schuler Henri George
10% Owner
Transactions
- Purchase
Common Stock, par value $0.001
2018-04-17$1.00/sh+145,365$145,365→ 985,368 total(indirect: By Trust) - Purchase
Series B Convertible Preferred Stock (Right to Buy)
2018-04-17$100.00/sh+2,458$245,800→ 2,458 total(indirect: By Trust)→ Common Stock (245,800 underlying) - Purchase
Series B Convertible Preferred Stock (Right to Buy)
2018-04-17$100.00/sh+547$54,700→ 547 total(indirect: By Trust)→ Common Stock (54,700 underlying) - Purchase
Common Stock, par value $0.001
2018-04-17$1.00/sh+654,136$654,136→ 3,551,157 total(indirect: By Trust) - Purchase
Common Stock, par value $0.001
2018-04-17$1.00/sh+654,137$654,137→ 1,007,377 total(indirect: By Children) - Purchase
Common Stock, par value $0.001
2018-04-17$1.00/sh+654,136$654,136→ 3,551,157 total(indirect: By Trust) - Purchase
Series B Convertible Preferred Stock (Right to Buy)
2018-04-17$100.00/sh+2,458$245,800→ 2,458 total(indirect: By Children)→ Common Stock (245,800 underlying) - Purchase
Series B Convertible Preferred Stock (Right to Buy)
2018-04-17$100.00/sh+2,459$245,900→ 2,459 total(indirect: By Trust)→ Common Stock (245,900 underlying)
Holdings
- 141,304(indirect: By Seascape Partners L.P.)
Common Stock, par value $0.001
- 26,000(indirect: By Spouse)
Common Stock, par value $0.001
Footnotes (7)
- [F1]These shares of Common Stock ("Shares") and Series B Convertible Preferred Stock ("Preferred Stock") are directly owned by the Tanya Eva Schuler Trust. H. George Schuler is the sole trustee of the Tanya Eva Schuler Trust.
- [F2]These Shares and Preferred Stock are directly owned by the Therese Heidi Schuler Trust. H. George Schuler is the sole trustee of the Therese Heidi Schuler Trust.
- [F3]These Shares and Preferred Stock are directly owned by the Schuler GC 2010 Continuation Trust. H. George Schuler is the sole trustee of the Schuler GC 2010 Continuation Trust.
- [F4]These Shares and Preferred Stock are directly owned by the Schuler Grandchildren LLC. H. George Schuler is the manager of the Schuler Grandchildren LLC.
- [F5]These Shares are directly owned by Seascape Partners L.P., a family limited partnership. H. George Schuler is the manager of Seascape Partners L.P.
- [F6]The reporting person disclaims beneficial ownership of these Shares and Preferred Stock except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- [F7]Each share of Preferred Stock is initially convertible into 100 Shares automatically upon the Requisite Stockholder Approval (defined and described further in the Schedule 13D/A filed by the Reporting Person on April 19, 2018), subject to customary anti-dilution adjustments, reflecting an initial conversion price equal to $1.00 per share. The Preferred Stock has no expiration date.