SEC Form 4 · accession 0001213900-15-000179
Icagen, Inc. · ICGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Vincent Palmieri
Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 9, 2015 · 4:25 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 | Jan 7, 2015 | A | 48,800 | — | A | 48,800 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| WarrantF1 | $1.75 | Jan 7, 2015 | A | 146,810 | A | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 146,810 | 146,810 | D |
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. Mr. Palmieri was issued warrants exercisable for 134,610 shares of common stock as compensation for services in connection with the issuer's private placement and advisory services.