SEC Form 4 · accession 0001078782-15-001470
VOLITIONRX LTD · VNRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Rodney Gerard Rootsaert
Officer — Secretary
Period of report
Aug 18, 2014
Accepted (ET)
Sep 15, 2015 · 4:42 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000093314
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Option (Right to Buy)F1 | $2.50 | Aug 18, 2014 | A | 30,000 | A | Feb 18, 2015 | Feb 18, 2019 | Common Stock | 30,000 | 30,000 | D |
| Option (Right to Buy)F1 | $3.00 | Aug 18, 2014 | A | 30,000 | A | Feb 18, 2016 | Feb 18, 2020 | Common Stock | 30,000 | 30,000 | D |
| Option (Right to Buy) | $3.00 | May 18, 2015 | D | 10,000 | D | May 25, 2012 | May 25, 2015 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $3.00 | May 18, 2015 | D | 10,000 | D | Nov 25, 2012 | Nov 25, 2015 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $4.00 | May 18, 2015 | D | 10,000 | D | May 25, 2013 | May 25, 2016 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $4.00 | May 18, 2015 | D | 10,000 | D | Nov 25, 2013 | Nov 25, 2016 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $5.00 | May 18, 2015 | D | 10,000 | D | May 25, 2014 | May 25, 2017 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $5.00 | May 18, 2015 | D | 10,000 | D | Nov 25, 2014 | Nov 25, 2017 | Common Stock | 10,000 | 0 | D |
| Option (Right to Buy) | $3.00 | May 18, 2015 | A | 10,000 | A | May 25, 2012 | May 25, 2016 | Common Stock | 10,000 | 10,000 | D |
| Option (Right to Buy) | $3.00 | May 18, 2015 | A | 10,000 | A | Nov 25, 2012 | Nov 25, 2016 | Common Stock | 10,000 | 10,000 | D |
| Option (Right to Buy) | $4.00 | May 18, 2015 | A | 10,000 | A | May 25, 2013 | May 25, 2017 | Common Stock | 10,000 | 10,000 | D |
| Option (Right to Buy) | $4.00 | May 18, 2015 | A | 10,000 | A | Nov 25, 2013 | Nov 25, 2017 | Common Stock | 10,000 | 10,000 | D |
| Option (Right to Buy) | $5.00 | May 18, 2015 | A | 10,000 | A | May 25, 2014 | May 25, 2018 | Common Stock | 10,000 | 10,000 | D |
| Option (Right to Buy) | $5.00 | May 18, 2015 | A | 10,000 | A | Nov 25, 2014 | Nov 25, 2018 | Common Stock | 10,000 | 10,000 | D |
Explanation of responses
- F1A total of 60,000 Stock Options were granted on August 18, 2014 under the Company's 2011 Equity Incentive Plan. The Options vest in two equal installments at 6 months and at 18 months from the date of grant.
- F2The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on November 25, 2011 and fully-vested on November 25, 2014, and were exercisable for three years from the date first exercisable. The "replacement" options are fully-vested and exercisable for a period of four years from the date first exercisable.