Filing Details
- Accession Number:
- 0001144204-10-019240
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2010-04-09 13:00:00
- Reporting Period:
- 2009-12-23
- Filing Date:
- 2010-04-09
- Accepted Time:
- 2010-04-09 06:06:53
- Original Submission Date:
- 2009-12-28
- 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 | 2009-12-23 | 33,333 | $0.00 | 48,333 | No | 4 | P | Indirect | By Jameel Shivji Irrevocable Trust U/A dtd 12/30/04 |
Common Stock | Acquisiton | 2009-12-23 | 33,333 | $0.00 | 48,333 | No | 4 | P | Indirect | By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00 |
Common Stock | Acquisiton | 2009-12-23 | 33,333 | $0.00 | 48,333 | No | 4 | P | Indirect | By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00 |
Common Stock | Acquisiton | 2009-12-23 | 16,667 | $0.00 | 895,218 | 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 Jameel Shivji Irrevocable Trust U/A dtd 12/30/04 |
No | 4 | P | Indirect | By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00 |
No | 4 | P | Indirect | By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00 |
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 | Warrant | Acquisiton | 2009-12-23 | 8,333 | $0.00 | 8,333 | $2.50 |
Common Stock | Warrant | Acquisiton | 2009-12-23 | 8,333 | $0.00 | 8,333 | $2.50 |
Common Stock | Warrant | Acquisiton | 2009-12-23 | 8,333 | $0.00 | 8,333 | $2.50 |
Common Stock | Warrant | Acquisiton | 2009-12-23 | 4,167 | $0.00 | 4,167 | $2.50 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
8,333 | 2009-12-23 | 2014-12-23 | No | 4 | P | Indirect |
8,333 | 2009-12-23 | 2014-12-23 | No | 4 | P | Indirect |
8,333 | 2009-12-23 | 2014-12-23 | No | 4 | P | Indirect |
4,167 | 2009-12-23 | 2014-12-23 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 2,424,561 | Direct | |
Common Stock | 885,000 | Indirect | By Jamsz, a Alnoor and Miriam Shivji Family LLC |
Footnotes
- The reported securities were included in Units purchased for $1.50 per Unit, with each Unit consisting of one share of common stock and one warrant to purchase 25% of one share of common stock.
- The original Form 4 aggregated the transaction on behalf of four separate trusts into a single line, despite the different natures of indirect beneficial ownership.
- An aggregate of 885,000 shares of common stock were transferred from Shivji Family Trust dtd June 12, 2000 directly or indirectly to Jamsz, a Alnoor and Miriam Shivji Family LLC, through a transaction or series of transactions that altered the reporting person's form of indirect beneficial ownership but did not involve any change in the reporting person's pecuniary interest in such shares.