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Home/Filings/4/0001140361-13-034652
4//SEC Filing

WaferGen Bio-systems, Inc. 4

Accession 0001140361-13-034652

CIK 0001368993operating
View on SEC.govCompany Profile

Filed

Aug 28, 8:00 PM ET

Accepted

Aug 29, 9:23 PM ET

Size

33.1 KB

Accession

0001140361-13-034652

Insider Transaction Report

Form 4
Period: 2013-08-27
WaferGen Bio-systems, Inc.WGBS
KANTER JOEL S
Director
Transactions
  • Award

    Common Stock

    2013-08-27+5,000→ 33,389 total
  • Disposition to Issuer

    Series A-1 Convertible Preferred Stock

    2013-08-27−4,807.39→ 0 total(indirect: By Foundation)
    → Common Stock (484 underlying)
  • Disposition to Issuer

    Convertible Promissory Note due 11/27/2014

    2013-08-27→ 0 total(indirect: By Foundation)
    Exercise: $56.65→ Common Stock (494 underlying)
  • Award

    Common Stock Warrant (right to buy)

    2013-08-27+7,755→ 7,755 total
    Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (7,755 underlying)
  • Award

    Common Stock Warrant (right to buy)

    2013-08-27+2,500→ 2,500 total
    Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (2,500 underlying)
  • Award

    Common Stock

    2013-08-27+25,000→ 39,799 total(indirect: By Foundation)
  • Award

    Common Stock Warrant (right to buy)

    2013-08-27+3,877→ 3,877 total(indirect: By Foundation)
    Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (3,877 underlying)
  • Award

    Common Stock Warrant (right to buy)

    2013-08-27+12,500→ 12,500 total(indirect: By Foundation)
    Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (12,500 underlying)
  • Award

    Common Stock

    2013-08-27+14,044→ 14,799 total(indirect: By Foundation)
  • Disposition to Issuer

    Series A-1 convertible Preferred Stock

    2013-08-27−9,615.38→ 0 total
    → Common Stock (967 underlying)
  • Disposition to Issuer

    Convertible Promissory Note due 11/27/2014

    2013-08-27→ 0 total
    Exercise: $56.65→ Common Stock (987 underlying)
  • Award

    Common Stock

    2013-08-27+28,087→ 28,389 total
  • Disposition to Issuer

    Common Stock Warrant (right to buy)

    2013-08-27−1,851→ 0 total
    Exercise: $61.62→ Common Stock (1,851 underlying)
  • Disposition to Issuer

    Common Stock Warrant (right to buy)

    2013-08-27−926→ 0 total(indirect: By Foundation)
    Exercise: $61.62→ Common Stock (926 underlying)
Footnotes (8)
  • [F1]The securities were convertible into common stock at any time following their issuance on May 27, 2011, on a 9.939-for-1 basis, and had no expiration date.
  • [F2]The reporting person disposed of 9,615.38 shares of Series A-1 convertible preferred stock, 1,851 common stock warrants and a convertible promissory note with a principal amount of $55,924, including accrued interest, in exchange for 28,087 shares of common stock and 7,755 common stock warrants in an issuer exchange transaction.
  • [F3]The securities were convertible into common stock at any time following their issuance on May 27, 2011, until their expiry five years thereafter.
  • [F4]The principal amount of the security includes interest earned from their issuance on May 27, 2011, up until August 27, 2013, and was convertible into Series A-2 convertible preferred stock, in whole or in part, at any time following their issuance, from time to time, with no expiration date. Each share of Series A-2 convertible preferred stock was convertible into common stock at any time on a 9.939-for-1 basis, with no expiration date.
  • [F5]The Kanter Family Foundation disposed of 4,807.69 shares of Series A-1 convertible preferred stock, 926 common stock warrants and a convertible promissory note with a principal amount of $27,962, including accrued interest, in exchange for 14,044 shares of common stock and 3,877 common stock warrants in an issuer exchange transaction.
  • [F6]The reported securities are included within 0.2 Units acquired by the reporting person from the issuer in a private placement for $50,000 per Unit. Each Unit consists of twenty five thousand (25,000) shares of common stock and twelve thousand five hundred (12,500) warrants to purchase one share of common stock.
  • [F7]The reported securities are included within 1.0 Units acquired by the Kanter Family Foundation from the issuer in a private placement for $50,000 per Unit. Each Unit consists of twenty five thousand (25,000) shares of common stock and twelve thousand five hundred (12,500) warrants to purchase one share of common stock.
  • [F8]On August 27, 2013, the common stock of WaferGen Bio-systems, Inc. was subject to a 1-for-99.39 reverse split. All dispositions, acquisitions and conversion ratios are recorded on a post-split basis.

Documents

1 file

Issuer

WaferGen Bio-systems, Inc.

CIK 0001368993

→
Entity typeoperating
IncorporatedNV

Related Parties

1
  • filerCIK 0001368993

Filing Metadata

Form type
4
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 9:23 PM ET
Size
33.1 KB
View on SEC.gov