SEC Form 4 · accession 0001368993-17-000026
WaferGen Bio-systems, Inc. · WGBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Ivan Trifunovich
Director
Period of report
Feb 28, 2017
Accepted (ET)
Mar 1, 2017 · 2:29 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001368993
Table I — non-derivative securities
No Table I lines on this filing.
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)F1 | $2.80 | Feb 28, 2017 | D | 58,469 | D | — | Jan 22, 2023 | Common Stock | 58,469 | 0 | D |
Explanation of responses
- F1Pursuant to the Agreement and Plan of Merger, dated May 12, 2016, by and among WaferGen Bio-systems, Inc., Takara Bio USA Holdings, Inc., Walrus Acquisition Corporation and Takara Bio USA, Inc., this option, which was fully vested as of the closing of the merger, was cancelled in exchange for a cash payment for each share subject to the option equal to the excess of $7.347126 over the per share exercise price of the option.