4//SEC Filing
CAVAZZA CLAUDIO 4
Accession 0001140361-09-021819
CIK 0000812796other
Filed
Sep 27, 8:00 PM ET
Accepted
Sep 28, 1:20 PM ET
Size
8.9 KB
Accession
0001140361-09-021819
Insider Transaction Report
Form 4
CAVAZZA CLAUDIO
10% Owner
Transactions
- Purchase
Common Stock
2009-09-24$0.25/sh+3,952,569$1,000,000→ 45,619,236 total(indirect: Indirect) - Other
Common Stock Warrant (warrant to buy)
2009-09-24+1→ 1 total(indirect: Indirect)Exercise: $0.28From: 2009-09-27Exp: 2014-09-27→ Common Stock (1,976,284 underlying)
Footnotes (3)
- [F1]Shares directly owned by Sigma-Tau Pharmaceuticals, Inc. (?Pharmaceuticals?). Pharmaceuticals is a direct wholly-owned subsidiary of Sigma-Tau America S.A. (?America?). America is a direct wholly-owned subsidiary of Sigma-Tau International S.A. (?International?). International is a direct wholly-owned subsidiary of Sigma-Tau Finanziaria S.p.A. ("Sigma Tau"). Claudio Cavazza directly and indirectly owns 57% of Sigma Tau.
- [F2]This warrant was issued by the Issuer to Pharmaceuticals in consideration of Pharmaceuticals? purchase of 3,952,569 shares of common stock on September 24, 2009.
- [F3]The expiration date of the warrant may be accelerated at the Issuer?s option if the Issuer?s common stock meets certain price thresholds and the common shares underlying the warrant are registered for resale pursuant to an effective registration statement or are freely transferable without volume restrictions pursuant to Rule 144 under the Securities Act of 1933, as amended.
Documents
Issuer
DOR BIOPHARMA INC
CIK 0000812796
Entity typeother
Related Parties
1- filerCIK 0001164803
Filing Metadata
- Form type
- 4
- Filed
- Sep 27, 8:00 PM ET
- Accepted
- Sep 28, 1:20 PM ET
- Size
- 8.9 KB