SEC Form 4 · accession 0000899243-17-020794
Niagen Bioscience, Inc. · NAGE
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owners
Ka Shing Li
10% Owner
Champion River Ventures Ltd
10% Owner
Mayspin Management Ltd
10% Owner
Prime Tech Global Ltd
10% Owner
Period of report
Aug 18, 2017
Accepted (ET)
Aug 22, 2017 · 8:34 am EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001386570
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Aug 18, 2017 | P | 1,179,250 | $2.60 | A | 5,769,230 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Champion River Ventures Limited ("Champion River") acquired 1,179,250 shares of the Issuer's common stock at the closing of the third tranche on August 18, 2017, pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River and Pioneer Step Holdings Limited ("Pioneer Step"), as amended by the First Amendment to Securities Purchase Agreement, dated May 24, 2017 (the "First Amendment"), by and among the Issuer, Champion River and Pioneer Step.
- F2The shares are held directly by Champion River. The sole shareholder of Champion River is Prime Tech Global Limited ("Prime Tech"), the sole shareholder of Prime Tech is Mayspin Management Limited ("Mayspin"), and the sole shareholder of Mayspin is Li Ka Shing ("Li Ka Shing"). Each of Prime Tech, Mayspin and Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by Champion River, except to the extent of its pecuniary interest therein, if any.