Filing Details
- Accession Number:
- 0001140361-15-012934
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-03-23 15:22:34
- Reporting Period:
- 2013-09-30
- Filing Date:
- 2015-03-23
- Accepted Time:
- 2015-03-23 15:22:34
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
926617 | Vermillion Inc. | VRML | In Vitro & In Vivo Diagnostic Substances (2835) | 330595156 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1629151 | George Henri Schuler | 28161 North Keith Drive Lake Forest IL 60045 | No | No | 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, Par Value $0.001 Per Share | Disposition | 2013-09-30 | 10,369 | $2.60 | 37,131 | No | 4 | S | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Disposition | 2013-10-02 | 7,131 | $2.54 | 30,000 | No | 4 | S | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-04 | 11,886 | $2.42 | 41,886 | No | 4 | P | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-05 | 500 | $2.44 | 42,386 | No | 4 | P | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-06 | 741 | $2.55 | 43,127 | No | 4 | P | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-07 | 4,373 | $2.48 | 47,500 | No | 4 | P | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-14 | 2,500 | $2.68 | 50,000 | No | 4 | P | Indirect | By spouse |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-15 | 5,000 | $2.46 | 43,500 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-11-18 | 5,000 | $2.47 | 48,500 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Disposition | 2013-12-06 | 12,000 | $2.38 | 38,000 | No | 4 | G | Indirect | Gifted by spouse to adult daughter |
Common Stock, Par Value $0.001 Per Share | Disposition | 2013-12-06 | 12,000 | $2.38 | 26,000 | No | 4 | G | Indirect | Gifted by spouse to adult son |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-12-13 | 20,000 | $2.03 | 68,500 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-12-17 | 10,000 | $2.15 | 78,500 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2013-12-31 | 10,000 | $2.41 | 88,500 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2014-12-22 | 46,158 | $1.51 | 134,658 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 Per Share | Acquisiton | 2014-12-23 | 6,646 | $1.55 | 141,304 | No | 4 | P | Indirect | By Seascape Partners L.P. |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | By spouse |
No | 4 | S | Indirect | By spouse |
No | 4 | P | Indirect | By spouse |
No | 4 | P | Indirect | By spouse |
No | 4 | P | Indirect | By spouse |
No | 4 | P | Indirect | By spouse |
No | 4 | P | Indirect | By spouse |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | G | Indirect | Gifted by spouse to adult daughter |
No | 4 | G | Indirect | Gifted by spouse to adult son |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | P | Indirect | By Seascape Partners L.P. |
No | 4 | P | Indirect | By Seascape Partners L.P. |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.001 Per Share | 1,787,536 | Indirect | By Tino Hans Schuler Trust |
Common Stock, Par Value $0.001 Per Share | 1,787,536 | Indirect | By Tanya Eve Schuler Trust |
Common Stock, Par Value $0.001 Per Share | 1,787,536 | Indirect | By Therese Heidi Schuler Trust |
Common Stock, Par Value $0.001 Per Share | 188,888 | Indirect | By Schuler GC 2010 Continuation Trust |
Common Stock, Par Value $0.001 Per Share | 188,888 | Indirect | By Schuler Grandchildren LLC |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock, Par Value $0.001 Per Share | Warrant to Acquire Common Stock | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock, Par Value $0.001 Per Share | Warrant to Acquire Common Stock | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock, Par Value $0.001 Per Share | Warrant to Acquire Common Stock | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock, Par Value $0.001 Per Share | Warrant to Acquire Common Stock | $2.00 | 2015-06-23 | 2017-12-23 | 113 | 113,332 | Indirect |
Common Stock, Par Value $0.001 Per Share | Warrant to Acquire Common Stock | $2.00 | 2015-06-23 | 2017-12-23 | 113,332 | 113,332 | Indirect |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2017-12-23 | 571,702 | 571,702 | Indirect |
2017-12-23 | 571,702 | 571,702 | Indirect |
2017-12-23 | 571,702 | 571,702 | Indirect |
2017-12-23 | 113 | 113,332 | Indirect |
2017-12-23 | 113,332 | 113,332 | Indirect |
Footnotes
- These shares of Common Stock are directly owned by Seascape Partners L.P., a family limited partnership. H. George Schuler is the manager of Seascape Partners L.P.
- These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Tino Hans Schuler Trust. H. George Schuler is the sole trustee of the Tino Hans Schuler Trust.
- These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Tanya Eve Schuler Trust. H. George Schuler is the sole trustee of the Tanya Eve Schuler Trust.
- These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Therese Heidi Schuler Trust. H. George Schuler is the sole trustee of the Therese Heidi Schuler Trust.
- These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Schuler GC 2010 Continuation Trust. H. George Schuler is the sole trustee of the Schuler GC 2010 Continuation Trust.
- These shares of Common Stock and Warrants to acquire Common Stock are directly owned by the Schuler Grandchildren LLC. H. George Schuler is the manager of the Schuler Grandchildren LLC.
- The reporting person disclaims beneficial ownership of the shares of Common Stock and Warrants to acquire Common Stock except to the extent of his pecuniary interest therein.
- The reporting person understands that these sales reported herein, which total to 17,500 shares, are matchable under Section 16(b) of the Securities Exchange Act of 1934 against the purchases reported herein, to the extent the purchases equate to the 17,500 shares sold. The reporting person has disgorged to the Issuer the full amount of profits realized in connection with the short-swing transactions, to the extent of his pecuniary interest therein.
- This price reflects the weighted average purchase price for open-market purchases of shares made by the reporting person on December 31, 2013, within a $1.00 range. The actual prices for these transactions range from $2.403 to $2.41, inclusive. The reporting person further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.
- This price reflects the weighted average purchase price for open-market purchases of shares made by the reporting person on December 22, 2014, within a $1.00 range. The actual prices for these transactions range from $1.50 to $1.52, inclusive. The reporting person further undertake to provide upon request by the Commission staff, the Issuer, or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price.