SEC Form 4 · accession 0001078782-15-002049
VOLITIONRX LTD · VNRX
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Jacob Vincent Micallef
Officer — Chief Scientific Officer
Period of report
Dec 9, 2015
Accepted (ET)
Dec 18, 2015 · 2:40 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000093314
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Dec 9, 2015 | M | 50,000 | $3.01 | A | 64,290 | I | Borlaug Limited |
| Common StockF1 | Dec 9, 2015 | F | 35,834 | $4.20 | D | 28,456 | I | Borlaug Limited |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F2 | $3.01 | Dec 13, 2012 | M | 50,000 | D | Dec 13, 2012 | Dec 13, 2015 | Common Stock | 50,000 | 0 | I |
Explanation of responses
- F1These shares of Common Stock are owned of record by Borlaug Limited, which is a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over these shares. However, Dr. Micallef disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein.
- F2These options to purchase Common Stock were granted pursuant to the Issuer's 2011 Equity Incentive Plan dated November 17, 2011, and are owned of record by Borlaug Limited, which is a consulting firm. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the shares of Common Stock issuable to Borlaug Limited upon the exercise of these options. However, Dr. Micallef disclaims benefical ownership of the Options except to the extent of his pecuniary interest therein.