GERMAIN MARK 4

4 · ChromaDex Corp. · Filed Dec 26, 2012

Insider Transaction Report

Form 4

Period: 2012-12-21

ChromaDex Corp.CDXC.OB

GERMAIN MARK

Director

Transactions

Award
Employee Stock Options (right to buy)
2012-12-21+586,024→ 683,524 total
Exercise: $0.94From: 2012-10-15Exp: 2022-09-15→ Common Stock (586,024 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−30,000→ 1,046,700 total
Exercise: $1.50From: 2008-12-21Exp: 2017-12-21→ Common Stock (30,000 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−250,000→ 796,700 total
Exercise: $1.50From: 2009-04-21Exp: 2018-04-21→ Common Stock (250,000 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−282,100→ 232,500 total
Exercise: $1.54From: 2011-05-20Exp: 2020-05-20→ Common Stock (282,100 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−67,500→ 97,500 total
Exercise: $1.54From: 2011-06-10Exp: 2021-05-10→ Common Stock (67,500 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−282,100→ 514,600 total
Exercise: $1.54From: 2011-05-20Exp: 2020-05-20→ Common Stock (282,100 underlying)
Disposition to Issuer
Employee Stock Options (right to buy)
2012-12-21−67,500→ 165,000 total
Exercise: $1.54From: 2010-06-20Exp: 2020-05-20→ Common Stock (67,500 underlying)

Footnotes (10)

[F1]These previously awarded options have been terminated in exchange of a new award of options under different terms.
[F10]The total includes 97,500 options under different terms.
[F2]Options vested 1/5th every year for 5 years and have been fully vested as of December 21, 2012.
[F3]1/4th of options vested on April 21, 2009 and 1/48th of options vested monthly thereafter. The options have been fully vested as of April 21, 2012.
[F4]Options vest 50% over two years beginning on May 20, 2011.
[F5]Options vest 50% over two years beginning on May 20, 2011; provided further that, these options are only exercisable based on the percentage of warrants exercised as of such vesting date that were issued under that certian Subscription Agreement, dated as of April 22, 2010, between the Issuer and the subscribers named therein. Specifically, if 25% to 49.9% of such warrant have been exercised, then 25% of these options are exercisable; if 50% to 74.9% of such warrant have been exercised, then 50% of these options are exercisable; and if 75% or more of such warrants have been exercised, then 100% of these options are exercisable.
[F6]Options vested 1/12th every month for 12 months and have been fully vested as of May 20, 2011.
[F7]Options vested 1/12th every month for 12 months and have been fully vested as of May 10, 2012.
[F8]These new options are awarded by terminating the previously awarded options under different terms.
[F9]Options vest 1/12th every month for 12 months and will be fully vested on September 15, 2013.

Documents

1 file

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form4-12262012_071205.xmlPrimary