SEC Form 4 · accession 0001140361-15-038163
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
Oct 21, 2015
Accepted (ET)
Oct 21, 2015 · 4:35 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 | Oct 21, 2015 | P$0 | 200,000 | — | A | 250,000 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock Warrant (right to buy)F1,F2 | $1.44 | Oct 21, 2015 | P | 200,000 | A | — | — | Common Stock | 200,000 | 200,000 | D |
Explanation of responses
- F1All the securities reported on this Form 4 were purchased by the reporting person for an aggregate purchase price of $200,000.
- F2The securities are exercisable for shares of common stock at any time on or after October 21, 2015 and on or prior to the close of business on October 21, 2020.