WAFERGEN BIO-SYSTEMS, INC. Forms 3, 4 and 5: Preferred Stock
Statements of beneficial ownership filed with the SEC by officers, directors and 10% owners: 25 rows, 25 shown. Transaction codes are the SEC's. Shares and prices are split-adjusted; the as-filed figure is underneath.
- 2013-11-15: Reporting owner GREAT POINT PARTNERS LLC | Pesce Joseph F; Form 4; Security Series 1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-11-15: Reporting owner Davidson Scott Richard | GREAT POINT PARTNERS LLC; Form 4; Security Series 1 Convertible Preferred Stock; Transaction C Conversion of derivative security.
- 2013-08-27: Reporting owner GREAT POINT PARTNERS LLC | Pesce Joseph F; Form 4/A; Security Series A-1 Convertible Preferred Stock; Transaction D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e).
- 2013-08-27: Reporting owner GREAT POINT PARTNERS LLC | Pesce Joseph F; Form 4/A; Security Series 1 Convertible Preferred Stock; Transaction A Grant, award or other acquisition pursuant to Rule 16b-3(d).
| Transaction date | Reporting owner | Form | Security | Transaction | Shares | Price | Price that day | Filing |
|---|---|---|---|---|---|---|---|---|
| 2013-11-15 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −358 1,430 owned after | no price filed | 2013-11-19 | |
| 2013-11-15 | Davidson Scott Richard | GREAT POINT PARTNERS LLC Director | Other (See Footnote 2) | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnotes | C Conversion of derivative security | −358 1,430 owned after | no price filed | 2013-11-19 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4/A | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,274,039 0 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4/A | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,027,471 1,480 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4/A | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +387,500 308 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4/A | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,274,039 0 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4/A | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,027,471 1,480 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4/A | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +387,500 308 owned after | no price filed | 2013-09-05 | |
| 2013-08-27 | Coradini Robert Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −24,038 0 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | Shivji Alnoor Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · By Shivji Family Trust dtd June 12, 2000 | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −38,462 0 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,274,039 0 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,027,471 1,480 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Pesce Joseph F Other (See Footnote 2) | Director | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +387,500 308 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −1,274,039 0 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +1,027,471 1,480 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | GREAT POINT PARTNERS LLC | Davidson Scott Richard Other (See Footnote 2) | Director | 4 | Series 1 Convertible Preferred Stock Derivative · Indirect · See Footnote | A Grant, award or other acquisition pursuant to Rule 16b-3(d) | +387,500 308 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | KANTER JOEL S Director | 4 | Series A-1 convertible Preferred Stock Derivative · Direct · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −9,615 0 owned after | no price filed | 2013-08-29 | |
| 2013-08-27 | KANTER JOEL S Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | D Disposition to the issuer of issuer equity securities pursuant to Rule 16b-3(e) | −926 0 owned after | no price filed | 2013-08-29 | |
| 2012-01-23 holding as of filing | Pesce Joseph F | GREAT POINT PARTNERS LLC Director | Other | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2012-01-23 | ||
| 2012-01-23 holding as of filing | Davidson Scott Richard | GREAT POINT PARTNERS LLC Director | Other | 3 | Series A-1 Convertible Preferred Stock Derivative · Indirect · See Footnote | Holding | no price filed | 2012-01-23 | ||
| 2011-05-25 | KANTER JOEL S Director | 4/A | Series A-1 Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +2,404 2,404 owned after | no price filed | 2015-02-20 | |
| 2011-05-25 | Coradini Robert Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct | P Open market or private purchase of non-derivative or derivative security | +24,038 24,038 owned after | no price filed | 2011-05-27 | |
| 2011-05-25 | Shivji Alnoor Director, Officer (Chief Executive Officer), 10% Owner | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · By Shivji Family Trust dtd June 12, 2000 | P Open market or private purchase of non-derivative or derivative security | +38,462 38,462 owned after | no price filed | 2011-05-27 | |
| 2011-05-25 | KANTER JOEL S Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Direct · (m) | P Open market or private purchase of non-derivative or derivative security | +9,615 9,615 owned after | no price filed | 2011-05-27 | |
| 2011-05-25 | KANTER JOEL S Director | 4 | Series A-1 Convertible Preferred Stock Derivative · Indirect · (m) | P Open market or private purchase of non-derivative or derivative security | +91,937 91,937 owned after | no price filed | 2011-05-27 |