SEC Form 4 · accession 0001213900-18-000044
Icagen, Inc. · ICGN
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Robert Taglich
Director · 10% Owner
Period of report
Dec 29, 2017
Accepted (ET)
Jan 2, 2018 · 5:06 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, $0.001 par value | Dec 29, 2017 | P | 21,429 | $0.37 | A | 72,125 | D | |
| Common Stock, $0.001 par valueF1 | holding | — | — | — | 301,714 | 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant | $3.50 | Dec 29, 2017 | A | 5,357 | A | Dec 29, 2017 | Dec 31, 2019 | Common Stock | 5,357 | 5,357 | D |
Explanation of responses
- F1Mr. Taglich indirectly owns an aggregate of 301,714 shares of common stock of Icagen, Inc. as follows: (i) 285,714 shares held in Mr. Taglich's individual retirement account; and (ii) an aggregate of 16,000 shares held by four separate custodial accounts for the benefit of Mr. Taglich's minor children.