SEC Form 4 · accession 0001449374-16-000139
ULURU Inc. · ULUR
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Mar 29, 2016
Accepted (ET)
Mar 31, 2016 · 2:19 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 | Mar 29, 2016 | P | 266,480 | $0.0713 | A | 286,480 | I | By Centric Capital Ventures LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $0.0871 | Mar 29, 2016 | P | 266,480 | A | Mar 30, 2016 | Mar 30, 2021 | Common Stock | 266,480 | 266,480 | I |
Explanation of responses
- F1Under a Stock Purchase Agreement, dated as of March 29, 2016, with the Issuer and certain other investors, Centric Capital Ventures LLC ("Centric Capital") purchased 266,480 shares of the Issuer's Common Stock at a purchase price of $.0713 per share and was issued a warrant to purchase 266,480 shares of the Issuer's Common Stock (as reported in this Form 4) for no additional consideration.
Remarks
Remarks: Bradley J. Sacks ("B Sacks"), Centric Capital and Michael I. Sacks may be deemed to be members of a "group" within the meaning of Rule 13d-5(b) under the Securities Exchange Act of 1934. As the managing member of Centric Capital, B Sacks is deemed to beneficially own the securities directly owned by Centric Capital.