SEC Form 4 · accession 0001535264-15-000083
WaferGen Bio-systems, Inc. · WGBS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
AWM Investment Company, Inc.
10% Owner
Period of report
Sep 21, 2015
Accepted (ET)
Sep 24, 2015 · 11:27 am 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 | Sep 21, 2015 | S | 17,010 | $3.2185 | D | 1,382,990 | I | By Limited Partnerships |
| Common StockF2,F3,F1 | Sep 22, 2015 | S | 475,363 | $2.2724 | D | 907,627 | I | By Limited Partnerships |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This is a weighted average price.
- F2AWM Investment Company, Inc., a Delaware corporation (AWM), is the investment adviser to 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, SSPE, the Funds). As the investment adviser to the Funds, AWM holds sole voting and investment power over 388,983 shares of Common Stock of the Issuer (the Shares) held by SSFQP, 129,661 Shares held by CAYMAN, 129,661 Shares held by SSPE and 259,322 Shares held by SSLS.
- F3Austin W. Marxe (Marxe), David M. Greenhouse (Greenhouse) and Adam C. Stettner (Stettner) are the controlling principals of AWM. The reporting person disclaims beneficial ownership of the Shares, except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that the reporting person is the beneficial owner of the securities reported herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.