Filing Details
- Accession Number:
- 0001086377-13-000002
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-03-15 18:01:23
- Reporting Period:
- 2013-03-14
- Filing Date:
- 2013-03-15
- Accepted Time:
- 2013-03-15 18:01:23
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1168220 | Uluru Inc. | ULUR | Pharmaceutical Preparations (2834) | 412118656 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1372353 | K Terrance Wallberg | C/O Uluru Inc. 4452 Beltway Drive Addison TX 75001 | Chief Financial Officer | No | Yes | No | No |
Reported Non-Derivative Transactions
Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|---|---|---|---|---|---|
Common Stock | Acquisiton | 2013-03-14 | 100,000 | $0.40 | 124,257 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant | Acquisiton | 2013-03-14 | 60,000 | $0.60 | 60,000 | $0.60 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
60,000 | 2013-09-10 | 2018-03-14 | No | 4 | P | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Employee Stock Option (Right to Buy) | $14.25 | 2016-12-06 | 13,334 | 13,334 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $34.65 | 2018-02-12 | 5,334 | 5,334 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2016-12-06 | 13,334 | 13,334 | Direct |
2018-02-12 | 5,334 | 5,334 | Direct |
Footnotes
- On March 14, 2013, Mr. Wallberg purchased from the Company 100,000 shares of common stock at a price of $0.40 per share. The purchase will take place at the following four closings over the next twelve months: (i) 20,000 shares of common stock will be purchased at a price of $8,000 at the initial closing on March 14, 2013, (ii) 25,000 shares of common stock will be purchased at a price of $10,000 on July 14, 2013, (iii) 30,000 shares of common stock will be purchased at a price of $12,000 on November 14, 2013, and (iv) 25,000 shares of common stock will be purchased at a price of $10,000 on March 14, 2014. In connection with his purchase of the Company's common stock, Mr. Wallberg was also issued a warrant to acquire up to 60,000 shares of the Company's common stock at a fixed exercise price of $0.60 per share. The warrant will become exercisable on September 10, 2013 subject to payment of the sums described above and has an expiration date of March 14, 2018.
- These employee stock options became fully vested on December 6, 2010.
- These employee stock options became fully vested on February 12, 2012.