SEC Form 4 · accession 0001213900-15-000175
Icagen, Inc. · ICGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Timothy Tyson
Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 4:08 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001518520
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Jan 7, 2015 | A | 285,712 | — | A | 285,712 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1,F2 | $1.75 | Jan 7, 2015 | A | 71,428 | A | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 71,428 | 71,428 | I |
Explanation of responses
- F1Shares were purchased in a unit offering, with each unit consisting of four (4) shares of common stock and one (1) warrant to purchase one (1) share of common stock for $7.00 per unit.
- F2Tyson Revocable Trust owns the securities and Timothy Tyson is the trustee of the Trust.