SEC Form 4 · accession 0001213900-15-000181

Icagen, Inc. · ICGN

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director · 10% Owner

Period of report

Jan 7, 2015

Accepted (ET)

Jan 9, 2015 · 4:26 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 Stock^F1,F2	Jan 7, 2015	A	11,428	—	A	11,428	I	See footnote
Common Stock^F1,F3	Jan 7, 2015	A	11,428	—	A	22,856	I	See footnote
Common Stock^F1,F4	Jan 7, 2015	A	11,428	—	A	34,284	I	See footnote
Common Stock^F1,F5	Jan 7, 2015	A	11,428	—	A	45,712	I	See footnote
Common Stock^F1,F6	Jan 7, 2015	A	571,428	—	A	617,140	I	See footnote
Common Stock^F1,F7	Jan 7, 2015	A	28,572	—	A	645,712	I	See footnote

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant^F1,F2	$1.75	Jan 7, 2015	A	2,857	A	Jan 7, 2015	Jan 7, 2020	Common Stock	2,857	2,857	I
Warrant^F1,F3	$1.75	Jan 7, 2015	A	2,857	A	Jan 7, 2015	Jan 7, 2020	Common Stock	2,857	5,714	I
Warrant^F1,F4	$1.75	Jan 7, 2015	A	2,857	A	Jan 7, 2015	Jan 7, 2020	Common Stock	2,857	8,571	I
Warrant^F1,F5	$1.75	Jan 7, 2015	A	2,857	A	Jan 7, 2015	Jan 7, 2020	Common Stock	2,857	11,428	I
Warrant^F1,F6	$1.75	Jan 7, 2015	A	142,857	A	Jan 7, 2015	Jan 7, 2020	Common Stock	142,857	154,285	I
Warrant^F1,F7	$1.75	Jan 7, 2015	A	7,143	A	Jan 7, 2015	Jan 7, 2020	Common Stock	7,143	161,428	I
Warrant^F8	$1.75	Jan 7, 2015	A	168,888	A	Jan 7, 2015	Jan 7, 2020	Common Stock	168,888	168,888	D

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.
F2Securities are held by Michael Taglich as Custodian For Benefit of Hope Taglich UTMA, his minor child.
F3Securities are held by Michael Taglich as Custodian For Benefit of Lucy Taglich UTMA NY, his minor child.
F4Securities are held by Michael Taglich Custodian For Benefit of Amanda Taglich UTMA NY Until Age 21, his minor child.
F5Securities are held by Michael Taglich Custodian For Benefit of Stella Taglich UTMA NY Until Age 21, his minor child.
F6Securities are held by Michael N. Taglich Keogh-Account. Michael Taglich is the principal of this account.
F7Securities are held by Mike Taglich POA Tag/Kent Partnership F/B/O Garlinghouse/M Taglich B Taglich. Michael Taglich has power of attorney over the partnership.
F8Mr. Taglich was issued warrants exercisable for 168,888 shares of common stock as compensation for services in connection with the issuer's private placement and for advisory services.