Filing Details

Accession Number:
0001144204-10-019247
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2010-04-09 13:00:00
Reporting Period:
2008-12-30
Filing Date:
2010-04-09
Accepted Time:
2010-04-09 06:09:33
Original Submission Date:
2009-01-02
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1368993 Wafergen Bio-Systems Inc. WGBS.OB Laboratory Analytical Instruments (3826) 203699764
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1435645 Alnoor Shivji C/O Wafergen Bio-Systems, Inc.,
46531 Fremont Blvd.
Fremont CA 94538
Chief Executive Officer Yes Yes Yes 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 2008-12-30 2,693 $1.17 1,713,731 No 4 P Indirect By Shivji Family Trust dtd June 12, 2000
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Shivji Family Trust dtd June 12, 2000
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 1,253,520 Direct
Common Stock 15,000 Indirect By Jameel Shivji Irrevocable Trust U/A dtd 12/30/04
Common Stock 15,000 Indirect By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00
Common Stock 15,000 Indirect By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00
Footnotes
  1. The purchases reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the reporting person on November 14, 2008.
  2. Due to a typographical error, 14,820,000 too many shares were erroneously reported in the Amount of Securities Beneficially Owned Following Reported Transaction(s) columns of Table I on the original Form 4 and six (6) Forms 4 filed by the reporting person on the following dates: January 8, 2009; January 15, 2009; January 22, 2009; January 30, 2009; February 5, 2009; and February 12, 2009.
  3. The original Form 4 omitted disclosure in Table I of the shares of common stock beneficially owned by the reporting person indirectly by each of Jameel Shivji Irrevocable Trust U/A dtd 12/30/04, Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00 and Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00. These indirect holdings were also erroneously omitted from Table I of fourteen (14) Forms 4 filed by the reporting person on the following dates: January 8, 2009; January 15, 2009; January 22, 2009; January 30, 2009; February 5, 2009; February 12, 2009; February 19, 2009; February 26, 2009; March 13, 2009 (both Forms 4 filed on that date; March 23, 2009; June 8, 2009; June 19, 2009; and October 19, 2009.