4//SEC Filing
WaferGen Bio-systems, Inc. 4
Accession 0001140361-13-034655
CIK 0001368993operating
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 9:36 PM ET
Size
22.1 KB
Accession
0001140361-13-034655
Insider Transaction Report
Form 4
Shivji Alnoor
DirectorChief Executive Officer10% Owner
Transactions
- Award
Common Stock
2013-08-27+112,349→ 138,645 total(indirect: By Trust) - Disposition to Issuer
Common Stock Warrant (right to buy)
2013-08-27−7,400→ 0 total(indirect: By Trust)Exercise: $61.62→ Common Stock (7,400 underlying) - Award
Common Stock
2013-08-27+50,000→ 188,645 total(indirect: By Trust) - Disposition to Issuer
Series A-1 Convertible Preferred Stock
2013-08-27−38,461.54→ 0 total(indirect: By Trust)→ Common Stock (3,870 underlying) - Award
Common Stock Warrant (right to buy)
2013-08-27+31,108→ 31,108 total(indirect: By Trust)Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (31,108 underlying) - Disposition to Issuer
Convertible Promissory Note due 11/27/2014
2013-08-27→ 0 total(indirect: By Trust)Exercise: $56.65→ Common Stock (3,949 underlying) - Award
Common Stock Warrant (right to buy)
2013-08-27+25,000→ 25,000 total(indirect: By Trust)Exercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (25,000 underlying)
Holdings
- 487(indirect: By Trust)
Common Stock
- 487(indirect: By Trust)
Common Stock
- 487(indirect: By Trust)
Common Stock
- 25,703
Common Stock
Footnotes (6)
- [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 Shivji Family Trust dated June 12, 2000 disposed of 38,461.54 shares of Series A-1 convertible preferred stock, 7,400 common stock warrants and a convertible promissory note with a principal amount of $223,697, including accrued interest, in exchange for 112,349 shares of common stock and 31,108 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 reported securities are included within 2.0 Units acquired by the Shivji Family Trust dated June 12, 2000 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.
- [F6]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
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, 9:36 PM ET
- Size
- 22.1 KB