SEC Form 4 · accession 0001144204-15-001518
VACCINOGEN INC · VGEN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Anders Ture Georg Halldin
Director · 10% Owner
Period of report
Dec 26, 2014
Accepted (ET)
Jan 9, 2015 · 12:41 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001453001
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 26, 2014 | P | 934,580 | $5.50 | A | 934,580 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1 | $6.05 | Dec 26, 2014 | P | 272,727 | A | Dec 26, 2014 | Dec 26, 2019 | Common Stock | 272,727 | 272,727 | D |
Explanation of responses
- F1The reported securities include 909,091 units purchased by the reporting persons for $5.50 per unit. Each unit consists of one share of common stock and one warrant to purchase three tenths (0.3) of a share of common stock. Pursuant to the terms of the subscription agreement under which the reporting person purchased the units, the reporting persons received additional "adjustment" shares of common stock as if the purchase price of the common stock was $5.35 per share.