SEC Form 4/A · accession 0001213900-15-000327
Icagen, Inc. · ICGN
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
Vincent Palmieri
Director
Period of report
Jan 7, 2015
Accepted (ET)
Jan 15, 2015 · 2:48 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 | 44,516 | — | A | 44,516 | 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 | 145,739 | A | Jan 7, 2015 | Jan 7, 2020 | Common Stock | 145,739 | 145,739 | 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.