Filing Details
- Accession Number:
- 0000905148-17-000363
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2017-02-15 17:21:02
- Reporting Period:
- 2017-02-13
- Filing Date:
- 2017-02-15
- Accepted Time:
- 2017-02-15 17:21:02
- 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 | 100 N. Field Drive Suite 360 Lake Forest IL 60045 | No | No | 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 | 2017-02-13 | 486,763 | $1.40 | 2,325,319 | No | 4 | P | Indirect | By Tino Hans Schuler Trust |
Common Stock, Par Value $0.001 | Acquisiton | 2017-02-13 | 486,763 | $1.40 | 2,325,319 | No | 4 | P | Indirect | By Tanya Eve Schuler Trust |
Common Stock, Par Value $0.001 | Acquisiton | 2017-02-13 | 486,763 | $1.40 | 2,325,319 | No | 4 | P | Indirect | By Therese Heidi Schuler Trust |
Common Stock, Par Value $0.001 | Acquisiton | 2017-02-13 | 486,763 | $1.40 | 726,671 | No | 4 | P | Indirect | By Schuler GC 2010 Continuation Trust |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | P | Indirect | By Tino Hans Schuler Trust |
No | 4 | P | Indirect | By Tanya Eve Schuler Trust |
No | 4 | P | Indirect | By Therese Heidi Schuler Trust |
No | 4 | P | Indirect | By Schuler GC 2010 Continuation Trust |
Reported Derivative Transactions
Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (Right to buy) | Acquisiton | 2017-02-13 | 365,072 | $0.13 | 365,072 | $1.80 |
Common Stock | Warrants (Right to buy) | Acquisiton | 2017-02-13 | 365,072 | $0.13 | 365,072 | $1.80 |
Common Stock | Warrants (Right to buy) | Acquisiton | 2017-02-13 | 365,072 | $0.13 | 365,072 | $1.80 |
Common Stock | Warrants (Right to buy) | Acquisiton | 2017-02-13 | 365,072 | $0.13 | 365,072 | $1.80 |
Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
---|---|---|---|---|---|---|
365,072 | 2017-08-17 | 2022-02-17 | No | 4 | P | Indirect |
365,072 | 2017-08-17 | 2022-02-17 | No | 4 | P | Indirect |
365,072 | 2017-08-17 | 2022-02-17 | No | 4 | P | Indirect |
365,072 | 2017-08-17 | 2022-02-17 | No | 4 | P | Indirect |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock, Par Value $0.001 | 239,908 | Indirect | By Schuler Grandchildren LLC |
Common Stock, Par Value $0.001 | 141,304 | Indirect | By Seascape Partners L.P. |
Common Stock, Par Value $0.001 | 26,000 | Indirect | By spouse |
Reported Derivative Holdings
Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
---|---|---|---|---|---|---|---|
Common Stock | Warrants (Right to buy) | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock | Warrants (Right to buy) | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock | Warrants (Right to buy) | $2.00 | 2015-06-23 | 2017-12-23 | 571,702 | 571,702 | Indirect |
Common Stock | Warrants (Right to buy) | $2.00 | 2015-06-23 | 2017-12-23 | 113,332 | 113,332 | Indirect |
Common Stock | Warrants (Right to buy) | $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 | 113,332 | 113,332 | Indirect |
2017-12-23 | 113,332 | 113,332 | Indirect |
Footnotes
- These shares of common stock ("Shares") are directly owned by the Tino Hans Schuler Trust. H. George Schuler is the sole trustee of the Tino Hans Schuler Trust.
- These Shares are directly owned by the Tanya Eve Schuler Trust. H. George Schuler is the sole trustee of the Tanya Eve Schuler Trust.
- These Shares are directly owned by the Therese Heidi Schuler Trust. H. George Schuler is the sole trustee of the Therese Heidi Schuler Trust.
- These Shares 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 are directly owned by the Schuler Grandchildren LLC. H. George Schuler is the manager of the Schuler Grandchildren LLC.
- These Shares are directly owned by Seascape Partners L.P., a family limited partnership. H. George Schuler is the manager of Seascape Partners L.P.
- The reporting person disclaims beneficial ownership of these Shares except to the extent of his pecuniary interest therein, and this report shall not be deemed an admission that he is the beneficial owner of the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.