SEC Form 4 · accession 0001372353-16-000001

ULURU Inc. · ULUR

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Financial Officer · Director

Period of report

Mar 29, 2016

Accepted (ET)

Mar 31, 2016 · 3:15 pm EDT

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0001168220

Table I — non-derivative securities

Security	Date	Code	Shares	Price	A/D	Owned after	D/I	Nature of ownership
Common stock, par value $0.001^F1	Mar 29, 2016	P	701,262	$0.0713	A	825,519	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant to purchase common stock, par value $0.001^F1	$0.0871	Mar 29, 2016	P	701,262	A	Mar 29, 2016	Mar 29, 2021	Common Stock	701,262	701,262	D
Warrant to purchase common stock, par value $0.001^F2	$0.60	holding	—	—	—	Sep 10, 2013	Mar 14, 2018	Common Stock	60,000	60,000	D
Employee Stock Option (Right to Buy)^F3	$1.15	holding	—	—	—	—	Sep 25, 2024	Common Stock	40,000	40,000	D
Employee Stock Option (Right to Buy)^F4	$0.33	holding	—	—	—	—	Mar 20, 2023	Common Stock	90,000	90,000	D
Employee Stock Option (Right to Buy)^F5	$34.65	holding	—	—	—	—	Feb 12, 2018	Common Stock	5,334	5,334	D
Employee Stock Option (Right to Buy)^F6	$14.25	holding	—	—	—	—	Dec 6, 2016	Common Stock	13,334	13,334	D

F1Under 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.
F2On 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.
F3This employee stock option will become exercisable with respect to 40,000 shares of the Company's common stock over a three year period.
F4This 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.
F5This employee stock option became fully vested on February 12, 2012.
F6This employee stock option became fully vested on December 6, 2010.