SEC Form 3 · accession 0001044321-15-000052
WaferGen Bio-systems, Inc. · WGBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
MARXE AUSTIN W & GREENHOUSE DAVID M
10% Owner
Period of report
Feb 4, 2015
Accepted (ET)
Feb 4, 2015 · 11:32 am EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368993
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 1,400,000 | I | By Limited Partnerships |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantsF1,F2,F3 | $5.00 | holding | — | — | — | Aug 22, 2014 | Aug 27, 2019 | Common Stock | 1,400,000 | — | I |
Explanation of responses
- F1This is a joint filing by Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner). Special Situations Fund III QP, L.P. (SSFQP), Special Situations Cayman Fund, L.P. (CAYMAN), Special Situations Private Equity Fund, L.P. (SSPE), and Special Situations Life Sciences Fund, L.P. (SSLS and together with SSFQP, CAYMAN and SSPE, the Funds) hold shares of Common Stock of the Issuer (the Shares) and Warrants. AWM Investment Company, Inc. (AWM), the investment adviser to the Funds, holds the power to vote and the power to dispose of the Shares held by each of the Funds.
- F2Marxe, Greenhouse and Stettner are the controlling principals of AWM. While the Shares held by each of the Funds were previously reported by Marxe, Greenhouse and Stettner on Form 3, reference should be made to AWM (CIK #0001002856) for any future filings with the Securities and Exchange Commission relating to the Shares held by each of the Funds. Marxe, Greenhouse and Stettner disclaim beneficial ownership of the Shares, except to the extent of their pecuniary interest therein. This report shall not be deemed an admission that Marxe, Greenhouse and Stettner are the beneficial owners of the Shares of the Issuer held by the Funds for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.
- F3Corrected expiration date.