Filing Details
- Accession Number:
- 0001144204-10-037388
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2010-07-09 13:00:00
- Reporting Period:
- 2010-07-07
- Filing Date:
- 2010-07-09
- Accepted Time:
- 2010-07-09 19:11:43
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1368993 | Wafergen Bio-Systems Inc. | WGBS | Laboratory Analytical Instruments (3826) | 203699764 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1435645 | Alnoor Shivji | 7400 Paseo Padre Parkway Fremont CA 94555 | 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 | 2010-07-07 | 833,334 | $1.20 | 2,613,552 | 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 | Common Stock Warrant (right to buy) | Acquisiton | 2010-07-07 | 416,667 | $1.20 | 416,667 | $1.55 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 416,667 | 2010-07-07 | 2015-07-07 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
| Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
|---|---|---|---|
| Common Stock | 48,333 | Indirect | By Jameel Shivji Irrevocable Trust U/A dtd 12/30/04 |
| Common Stock | 48,333 | Indirect | By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00 |
| Common Stock | 48,333 | Indirect | By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00 |
| Common Stock | 2,424,561 | Direct |
Footnotes
- The reported securities are included within 833,334 Units purchased by the reporting person for $1.20 per Unit. Each Unit consists of one share of common stock and one warrant to purchase 50% of one share of common stock.
Billionaire Hedge Funds
