Shivji Alnoor 4
4 · WaferGen Bio-systems, Inc. · Filed May 27, 2011
Insider Transaction Report
Form 4
Shivji Alnoor
DirectorChief Executive Officer10% Owner
Transactions
- Purchase
Common Stock Warrant (right to buy)
2011-05-25+735,493→ 735,493 total(indirect: By Trust)Exercise: $0.62→ Common Stock (735,493 underlying) - Purchase
Convertible Promissory Note due 11/27/2014
2011-05-25(indirect: By Trust)Exercise: $5.70→ Series A-2 Convertible Preferred Stock (39,447.73 underlying) - Purchase
Series A-1 Convertible Preferred Stock
2011-05-25+38,461.54→ 38,461.54 total(indirect: By Trust)→ Common Stock (384,615 underlying)
Footnotes (5)
- [F1]The securities will be convertible into common stock at any time following the closing date on a one-for-ten basis, and have no expiration date.
- [F2]The reported securities will be purchased by the reporting person for an aggregate purchase price of $400,000.
- [F3]The securities will be convertible into common stock at any time following the closing date and expire five years thereafter.
- [F4]The principal amount of the security will be 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.
- [F5]Amount is based on principal amount of the security.