SEC Form 4 · accession 0001140361-15-019176
WaferGen Bio-systems, Inc. · WGBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rolland Carlson
Officer — CEO and President · Director
Period of report
May 12, 2015
Accepted (ET)
May 12, 2015 · 5:35 pm EDT
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 | May 12, 2015 | A | 50,000 | $0.00 | A | 50,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (right to buy)F2 | $3.78 | May 12, 2015 | A | 150,000 | A | — | May 12, 2022 | Common Stock | 150,000 | 150,000 | D |
Explanation of responses
- F1Represents grant of restricted stock units. 16,667 of the restricted stock units will vest on May 29, 2016, 16,666 of the restricted stock units will vest on May 29, 2017, and 16,667 of the restricted stock units will vest on May 29, 2018.
- F2One-third of the shares subject to the option vest on the first anniversary of the date of grant and the remaining shares vesting in eight equal quarterly installments over two years thereafter.