Filing Details
- Accession Number:
- 0001144204-10-019233
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-04-09 13:00:00
- Reporting Period:
- 2008-05-21
- Filing Date:
- 2010-04-09
- Accepted Time:
- 2010-04-09 06:03:11
- Original Submission Date:
- 2008-05-30
- 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 | 2008-05-21 | 111,110 | $0.00 | 1,738,288 | 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 Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants | Acquisiton | 2008-05-21 | 44,444 | $0.00 | 44,444 | $3.00 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
44,444 | 2008-05-21 | 2013-05-21 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 1,253,520 | Direct |
Footnotes
- The Shivji Family Trust dtd June 12, 2000 purchased 111,110 shares of common stock and warrants to purchase 44,444 shares of common stock from the issuer in a private placement offering for a purchase price of $2.25 per share of common stock included in such securities.
- The original Form 4 omitted 30,750 shares from the Amount of Securities Beneficially Owned Following Reported Transaction(s) column in Table I. The reporting person filed a Form 4 on July 24, 2008 that was intended, not to report new transactions, but to amend the original Form 4 to include some of the omitted shares. However, the later filing did not identify the date of the original filing.