CAVAZZA PAOLO 4
4 · SOLIGENIX, INC. · Filed Dec 21, 2012
Insider Transaction Report
Form 4
SOLIGENIX, INC.SNGX
CAVAZZA PAOLO
10% Owner
Transactions
- Other
Common Stock Warrant (warrant to buy)
2012-12-20−1→ 0 total(indirect: Indirect)Exercise: $5.60From: 2009-09-28Exp: 2014-09-27→ Common Stock (98,813 underlying) - Other
Common Stock Warrant (warrant to buy)
2012-12-20−1→ 0 total(indirect: Indirect)Exercise: $5.60From: 2010-06-18Exp: 2015-06-18→ Common Stock (258,256 underlying) - Other
Common Stock Warrant (warrant to buy)
2012-12-20+1→ 1 total(indirect: Indirect)Exercise: $0.53From: 2013-06-19Exp: 2017-12-19→ Common Stock (357,069 underlying) - Other
Common Stock Warrant (warrant to buy)
2012-12-20−1→ 0 total(indirect: Indirect)Exercise: $5.60From: 2010-06-18Exp: 2015-06-18→ Common Stock (87,804 underlying) - Other
Common Stock Warrant (warrant to buy)
2012-12-20+1→ 1 total(indirect: Indirect)Exercise: $0.53From: 2013-06-19Exp: 2017-12-19→ Common Stock (87,804 underlying)
Holdings
- 164,146(indirect: Indirect)
Common Stock
- 2,711,392(indirect: Indirect)
Common Stock
- 59,539
Common Stock
Footnotes (7)
- [F1]On February 1, 2012, the Issuer completed a reverse stock split of its issued and outstanding shares of common stock at a ratio of 1-for-20, whereby every 20 shares of its common stock was exchanged for one share of its common stock (the "Reverse Stock Split"). These shares were previously reported but the numbers have been changed to reflect the Reverse Stock Split.
- [F2]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"). Paolo Cavazza directly and indirectly owns 38% of Sigma Tau.
- [F3]Directly owned by Sinaf S.A. (formerly Chaumiere Sarl), which is an indirect wholly owned subsidiary of Aptafin S.p.A. ("Aptafin"). Aptafin is owned by Paolo Cavazza and members of his family.
- [F4]The exercise prices that were previously reported have been adjusted to reflect the Reverse Stock Split.
- [F5]These three reported transactions involved the issuance by the Issuer to Pharmaceuticals of a new warrant in exchange for the surrender by Pharmaceuticals of outstanding warrants.
- [F6]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 limitations pursuant to Rule 144 under the Securities Act of 1933, as amended.
- [F7]These two reported transactions involved the issuance by the Issuer to Sinaf S.A. of a new warrant in exchange for the surrender by Sinaf of an outstanding warrant.