4//SEC Filing
WaferGen Bio-systems, Inc. 4
Accession 0001140361-13-034656
CIK 0001368993operating
Filed
Aug 28, 8:00 PM ET
Accepted
Aug 29, 9:55 PM ET
Size
18.2 KB
Accession
0001140361-13-034656
Insider Transaction Report
Form 4
Coradini Robert
Director
Transactions
- Disposition to Issuer
Common Stock Warrant (right to buy)
2013-08-27−4,625→ 0 totalExercise: $61.62→ Common Stock (4,625 underlying) - Award
Common Stock Warrant (right to buy)
2013-08-27+31,250→ 31,250 totalExercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (31,250 underlying) - Disposition to Issuer
Series A-1 Convertible Preferred Stock
2013-08-27−24,038.46→ 0 total→ Common Stock (2,419 underlying) - Disposition to Issuer
Convertible Promissory Note due 11/27/2014
2013-08-27→ 0 totalExercise: $56.65→ Common Stock (2,468 underlying) - Award
Common Stock
2013-08-27+62,500→ 135,882 total - Award
Common Stock
2013-08-27+70,218→ 73,382 total - Award
Common Stock Warrant (right to buy)
2013-08-27+19,386→ 19,386 totalExercise: $2.60From: 2013-08-27Exp: 2018-08-27→ Common Stock (19,386 underlying)
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 reporting person disposed of 24,038.46 shares of Series A-1 convertible preferred stock, 4,625 common stock warrants and a convertible promissory note with a principal amount of $139,811, including accrued interest, in exchange for 70,218 shares of common stock and 19,386 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 2.5 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.
- [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, 9:55 PM ET
- Size
- 18.2 KB