SEC Form 4/A · accession 0000899243-16-012759
Unilife Corp · UNIS
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Alan Shortall
Officer — Chief Executive Officer · Director
Period of report
Sep 30, 2015
Accepted (ET)
Feb 5, 2016 · 4:31 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001476170
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | holding | — | — | — | 10,709,043 | D | ||
| Common StockF3 | holding | — | — | — | 55,074 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1On November 3, 2015, the reporting person mistakenly filed a Form 4 reporting both a disposition of 2,951,668 shares of common stock on September 30, 2015 and an acquisition of 2,951,668 shares of common stock on October 26, 2015. This report amends the filing originally made on November 3, 2015 to delete in their entirety both of such transactions. On September 30, 2015, an event of default occurred with respect to certain loans made by an unaffiliated third party to Alan Shortall, under which an aggregate of 2,951,668 shares of common stock were pledged as collateral by Mr. Shortall. The lender took no action to terminate the agreement or seize or acquire the share collateral upon such event of default, and the parties instead entered into an amendment to the original loan agreement pursuant to which Mr. Shortall pledged additional collateral to the lender and the default was cured. The loan continued in effect until a subsequent default occurred on December 9, 2015, which was
- F2(Continued from footnote 1) reported on a Form 4 on such date. As of October 26, 2015, the reporting person owned 10,709,043 shares of common stock.
- F3Owned by spouse of Mr. Shortall