4//SEC Filing
Gruber Joerg 4
Accession 0001397461-11-000001
CIK 0000889428other
Filed
Oct 4, 8:00 PM ET
Accepted
Oct 5, 10:46 AM ET
Size
9.0 KB
Accession
0001397461-11-000001
Insider Transaction Report
Form 4
Gruber Joerg
Director
Transactions
- Award
Common Stock
2011-09-02+45,799,947→ 49,539,393 total - Other
Warrants
2011-09-02+6,276,306→ 6,276,306 total(indirect: By Clubb Capital Limited)Exercise: $0.06From: 2011-09-02Exp: 2016-09-30→ Common Stock (6,276,306 underlying)
Holdings
- 823,000(indirect: By Clubb Capital Limited)
Common Stock
Footnotes (4)
- [F1]Received in exchange for 1,000,000 membership units of Pathfinder, LLC, a private company, in connection with and pursuant to the merger of Pathfinder, LLC with a wholly-owned subsidiary of Pathfinder Cell Therapy, Inc.(the "Merger"). On the effective date of the Merger (September 2, 2011), the closing price of Pathfinder Cell Therapy Inc.'s common stock was $.06 per share. No stand-alone valuation of Pathfinder, LLC was determined in connection with the Merger.
- [F2]The reporting person is Chairman and a director of Clubb Capital Limited. The reporting person disclaims beneficial ownership of the securities held by Clubb Capital Limited except to the extent of his pecuniary interest therein.
- [F3]Warrant entitlement is partial compensation for services by Clubb Capital Limited as placement agent in connection with a financing consummated by the issuer.
- [F4]Clubb Capital Limited has the right and is expected to cause the warrants reflected in this report to be issued to persons designated by it.
Documents
Issuer
Pathfinder Cell Therapy, Inc.
CIK 0000889428
Entity typeother
Related Parties
1- filerCIK 0001397461
Filing Metadata
- Form type
- 4
- Filed
- Oct 4, 8:00 PM ET
- Accepted
- Oct 5, 10:46 AM ET
- Size
- 9.0 KB