Filing Details
- Accession Number:
- 0001372353-16-000001
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-03-31 15:15:42
- Reporting Period:
- 2016-03-29
- Filing Date:
- 2016-03-31
- Accepted Time:
- 2016-03-31 15:15:42
- SEC Url:
- Form 4 Filing
Issuer
Cik | Name | Symbol | Sector (SIC) | IRS No |
---|---|---|---|---|
1168220 | Uluru Inc. | ULUR | Pharmaceutical Preparations (2834) | 412118656 |
Insiders
Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
---|---|---|---|---|---|---|---|
1372353 | K Terrance Wallberg | C/O Uluru Inc. 4452 Beltway Drive Addison TX 75001 | Chief Financial Officer | Yes | Yes | No | 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 | Acquisiton | 2016-03-29 | 701,262 | $0.07 | 825,519 | No | 4 | P | Direct |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Direct |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrant to purchase common stock, par value $0.001 | Acquisiton | 2016-03-29 | 701,262 | $0.09 | 701,262 | $0.09 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
701,262 | 2016-03-29 | 2021-03-29 | No | 4 | P | Direct |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrant to purchase common stock, par value $0.001 | $0.60 | 2013-09-10 | 2018-03-14 | 60,000 | 60,000 | Direct |
Common Stock | Employee Stock Option (Right to Buy) | $1.15 | 2024-09-25 | 40,000 | 40,000 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $0.33 | 2023-03-20 | 90,000 | 90,000 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $34.65 | 2018-02-12 | 5,334 | 5,334 | Direct | |
Common Stock | Employee Stock Option (Right to Buy) | $14.25 | 2016-12-06 | 13,334 | 13,334 | Direct |
Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|
2018-03-14 | 60,000 | 60,000 | Direct |
2024-09-25 | 40,000 | 40,000 | Direct |
2023-03-20 | 90,000 | 90,000 | Direct |
2018-02-12 | 5,334 | 5,334 | Direct |
2016-12-06 | 13,334 | 13,334 | Direct |
Footnotes
- Under a Stock Purchase Agreement, dated as of March 29, 2016, with the Company and certain other investors, Mr. Wallberg purchased 701,262 shares of the Company's common stock at a purchase price of $0.0713 per share and was issued a warrant to acquire up to 701,262 shares of the Company's common stock (as reported in this Form 4) for no additional consideration.
- On March 14, 2013, Mr. Wallberg purchased 100,000 shares of the Company's common stock at a purchase price of $0.40 per share with the purchase taking place at four closings over a twelve month period and was issued a warrant to acquire up to 60,000 shares of the Company's common stock (as reported in this Form 4) for no additional consideration.
- This employee stock option will become exercisable with respect to 40,000 shares of the Company's common stock over a three year period.
- This employee stock option became exercisable with respect to 52,500 shares of the Company's common stock on September 25, 2014 and will become exercisable with respect to an additional 37,500 shares of the Company's common stock over an eighteen month period.
- This employee stock option became fully vested on February 12, 2012.
- This employee stock option became fully vested on December 6, 2010.