4/A//SEC Filing
WaferGen Bio-systems, Inc. 4/A
Accession 0001140361-15-008254
CIK 0001368993operating
Filed
Feb 19, 7:00 PM ET
Accepted
Feb 20, 6:58 PM ET
Size
13.2 KB
Accession
0001140361-15-008254
Insider Transaction Report
Form 4/AAmended
KANTER JOEL S
Director
Transactions
- Purchase
Series A-1 Convertible Preferred Stock
2011-05-25+2,403.85→ 2,403.85 total→ Common Stock (24,038 underlying) - Purchase
Convertible Promissory Note due 11/27/2014
2011-05-25Exercise: $5.70→ Series A-2 Convertible Preferred Stock (21,930 underlying) - Purchase
Common Stock Warrant (right to buy)
2011-05-25+45,968→ 45,968 totalExercise: $0.62→ Common Stock (45,968 underlying)
Footnotes (8)
- [F1]4,807.69 shares of Series A-1 Convertible Preferred Stock, 91,937 common stock warrants and convertible promissory notes with aggregate principal amount of $50,000 acquired by The Kanter Family Foundation, in which the reporting person has no pecuniary interest, were errantly reported in the original filing. Its securities were also errantly reported on two subsequent Forms 4 filed by the reporting person.
- [F2]The securities are convertible immediately into common stock on a one-for-ten basis, and have no expiration date.
- [F3]The original filing incorrectly reported that the reporting person had acquired beneficial ownership in an additional 7,211.53 shares of Series A-1 Convertible Preferred Stock, which were held by the reporting person for the benefit of Joshua Kanter, the reporting person's brother who does not share the same household with the reporting person, and an entity affiliated with Joshua Kanter. The reporting person did not at any time have any pecuniary interest in these additional shares. These additional shares were also errantly reported on three subsequent Forms 4 filed by the reporting person.
- [F4]All the securities reported on this Form 4 were purchased by the reporting person for an aggregate purchase price of $25,000.
- [F5]The original filing incorrectly reported that the reporting person had acquired beneficial ownership in an additional 137,905 common stock warrants, which were held by the reporting person for the benefit of Joshua Kanter, the reporting person's brother who does not share the same household with the reporting person, and an entity affiliated with Joshua Kanter. The reporting person did not at any time have any pecuniary interest in these additional warrants. These additional warrants were also errantly reported on one subsequent Form 4 filed by the reporting person.
- [F6]The securities are exercisable immediately into common stock and expire on May 25, 2016.
- [F7]The original filing incorrectly reported that the reporting person had acquired beneficial ownership in additional convertible promissory notes with aggregate principal amount of $37,500, which were held by the reporting person for the benefit of Joshua Kanter, the reporting person's brother who does not share the same household with the reporting person, and an entity affiliated with Joshua Kanter. The reporting person did not at any time have any pecuniary interest in these additional convertible promissory notes. These additional convertible promissory notes were also errantly reported on three subsequent Forms 4 filed by the reporting person.
- [F8]The principal amount of the security was convertible into Series A-2 convertible preferred stock, in whole or in part, at any time following the closing date, from time to time, with no expiration date. The Series A-2 convertible preferred stock is convertible immediately into common stock on a one-for-ten basis, and has no expiration date. The amount reported is the number of shares of common stock assuming full conversion of Series A-2 Convertible Preferred Stock based on the principal amount of the security at issuance.
Documents
Issuer
WaferGen Bio-systems, Inc.
CIK 0001368993
Entity typeoperating
IncorporatedNV
Related Parties
1- filerCIK 0001368993
Filing Metadata
- Form type
- 4/A
- Filed
- Feb 19, 7:00 PM ET
- Accepted
- Feb 20, 6:58 PM ET
- Size
- 13.2 KB