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
  1. 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.
  2. 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.
  3. This employee stock option will become exercisable with respect to 40,000 shares of the Company's common stock over a three year period.
  4. 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.
  5. This employee stock option became fully vested on February 12, 2012.
  6. This employee stock option became fully vested on December 6, 2010.