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IGC Pharma, Inc. — Director's Dealing 2008
Sep 18, 2008
34705_dirs_2008-09-18_86c9f19e-1a99-45e9-8f9f-762d75eee9af.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: India Globalization Capital, Inc. (IGC)
CIK: 0001326205
Period of Report: 2008-03-20
Reporting Person: UBS AG (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2008-06-23 | Common Stock | P | 800 | $4.99 | Acquired | 33489 | Indirect |
| 2008-06-23 | Common Stock | S | 200 | $4.90 | Disposed | 33289 | Indirect |
| 2008-06-23 | Common Stock | S | 800 | $4.99 | Disposed | 32489 | Indirect |
| 2008-06-23 | Common Stock | S | 500 | $4.83 | Disposed | 31989 | Indirect |
| 2008-06-23 | Common Stock | S | 600 | $4.76 | Disposed | 31389 | Indirect |
| 2008-06-24 | Common Stock | P | 500 | $4.87 | Acquired | 31889 | Indirect |
| 2008-06-24 | Common Stock | S | 500 | $4.87 | Disposed | 31389 | Indirect |
| 2008-06-25 | Common Stock | P | 5700 | $5.01 | Acquired | 37089 | Indirect |
| 2008-06-25 | Common Stock | P | 100 | $5.09 | Acquired | 37189 | Indirect |
| 2008-06-25 | Common Stock | S | 400 | $5.09 | Disposed | 36789 | Indirect |
| 2008-06-25 | Common Stock | S | 300 | $5.08 | Disposed | 36489 | Indirect |
| 2008-06-25 | Common Stock | S | 5500 | $5.01 | Disposed | 30989 | Indirect |
| 2008-06-25 | Common Stock | S | 923 | $5.09 | Disposed | 30066 | Indirect |
| 2008-06-26 | Common Stock | P | 600 | $4.87 | Acquired | 30666 | Indirect |
| 2008-06-26 | Common Stock | S | 1000 | $4.86 | Disposed | 29666 | Indirect |
| 2008-06-27 | Common Stock | P | 500 | $5.07 | Acquired | 30166 | Indirect |
| 2008-06-27 | Common Stock | S | 500 | $5.07 | Disposed | 29666 | Indirect |
| 2008-06-30 | Common Stock | P | 1000 | — | Acquired | 30666 | Indirect |
| 2008-06-30 | Common Stock | S | 1000 | — | Disposed | 29666 | Indirect |
| 2008-07-01 | Common Stock | P | 1493 | $4.82 | Acquired | 31159 | Indirect |
| 2008-07-03 | Common Stock | P | 1700 | $4.82 | Acquired | 32859 | Indirect |
| 2008-07-03 | Common Stock | S | 300 | $4.77 | Disposed | 32559 | Indirect |
| 2008-07-03 | Common Stock | S | 1400 | $4.83 | Disposed | 31159 | Indirect |
| 2008-07-09 | Common Stock | P | 626 | $4.90 | Acquired | 31785 | Indirect |
| 2008-07-09 | Common Stock | P | 2200 | $4.86 | Acquired | 33985 | Indirect |
| 2008-07-09 | Common Stock | S | 300 | $4.90 | Disposed | 33685 | Indirect |
| 2008-07-09 | Common Stock | S | 2200 | $4.86 | Disposed | 31485 | Indirect |
| 2008-07-09 | Common Stock | S | 159 | $4.90 | Disposed | 31326 | Indirect |
| 2008-07-10 | Common Stock | P | 1250 | $4.94 | Acquired | 32576 | Indirect |
| 2008-07-10 | Common Stock | S | 1250 | $4.94 | Disposed | 31326 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2008-06-05 | Warrants (Right to Buy) | $5 | S | 5700 | Disposed | 2011-03-03 | Common Stock (5700) | Indirect |
| 2008-06-06 | Warrants (Right to Buy) | $5 | P | 6500 | Acquired | 2011-03-03 | Common Stock (6500) | Indirect |
| 2008-06-06 | Warrants (Right to Buy) | $5 | P | 1500 | Acquired | 2011-03-03 | Common Stock (1500) | Indirect |
| 2008-06-06 | Warrants (Right to Buy) | $5 | S | 1500 | Disposed | 2011-03-03 | Common Stock (1500) | Indirect |
| 2008-06-06 | Warrants (Right to Buy) | $5 | S | 6500 | Disposed | 2011-03-03 | Common Stock (6500) | Indirect |
| 2008-06-09 | Warrants (Right to Buy) | $5 | P | 1000 | Acquired | 2011-03-03 | Common Stock (1000) | Indirect |
| 2008-06-09 | Warrants (Right to Buy) | $5 | S | 1000 | Disposed | 2011-03-03 | Common Stock (1000) | Indirect |
| 2008-06-10 | Warrants (Right to Buy) | $5 | P | 3500 | Acquired | 2011-03-03 | Common Stock (3500) | Indirect |
| 2008-06-10 | Warrants (Right to Buy) | $5 | S | 2500 | Disposed | 2011-03-03 | Common Stock (2500) | Indirect |
| 2008-06-10 | Warrants (Right to Buy) | $5 | P | 50 | Acquired | 2011-03-03 | Common Stock (50) | Indirect |
| 2008-06-10 | Warrants (Right to Buy) | $5 | S | 50 | Disposed | 2011-03-03 | Common Stock (50) | Indirect |
| 2008-06-10 | Warrants (Right to Buy) | $5 | S | 1000 | Disposed | 2011-03-03 | Common Stock (1000) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | P | 5000 | Acquired | 2011-03-03 | Common Stock (5000) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | P | 2000 | Acquired | 2011-03-03 | Common Stock (2000) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 1000 | Disposed | 2011-03-03 | Common Stock (1000) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 1000 | Disposed | 2011-03-03 | Common Stock (1000) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 419 | Disposed | 2011-03-03 | Common Stock (419) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 481 | Disposed | 2011-03-03 | Common Stock (481) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 4100 | Disposed | 2011-03-03 | Common Stock (4100) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | P | 400 | Acquired | 2011-03-03 | Common Stock (400) | Indirect |
| 2008-06-11 | Warrants (Right to Buy) | $5 | S | 400 | Disposed | 2011-03-03 | Common Stock (400) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | P | 73322 | Acquired | 2011-03-03 | Common Stock (73322) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | P | 3055 | Acquired | 2011-03-03 | Common Stock (3055) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | P | 5145 | Acquired | 2011-03-03 | Common Stock (5145) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | P | 2700 | Acquired | 2011-03-03 | Common Stock (2700) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | P | 9000 | Acquired | 2011-03-03 | Common Stock (9000) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | S | 12200 | Disposed | 2011-03-03 | Common Stock (12200) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | S | 5000 | Disposed | 2011-03-03 | Common Stock (5000) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | S | 100 | Disposed | 2011-03-03 | Common Stock (100) | Indirect |
| 2008-06-12 | Warrants (Right to Buy) | $5 | S | 6400 | Disposed | 2011-03-03 | Common Stock (6400) | Indirect |
Footnotes
F1: THE REPORTED SECURITIES ARE OWNED DIRECTLY IN PART BY UBS FINANCIAL SERVICES, INC. AND IN PART BY UBS SECURITIES LLC, BOTH OF WHICH ARE WHOLLY OWNED SUBSIDIARIES OF UBS AG. UBS AG IS INDIRECT BENEFICIAL OWNER OF THE REPORTED SECURITIES.
F2: THE REPORTED SECURITIES REFLECT A PURCHASE OF 1,000 UNITS FOR $6.54 PER UNIT AND A SALE OF 1,000 UNITS FOR $6.54 PER UNIT.
F3: INDIA GLOBALIZATION CAPITAL, INC. FILED ITS ANNUAL REPORT FOR THE FISCAL YEAR ENDED MARCH 31, 2008 ONE DAY AFTER ITS EXTENDED DEADLINE FOR FILING, AND THUS THE ISSUER'S REGISTRATION STATEMENT ON FORM S-3 REGISTERING THE REPORTED SECURITIES ISSUABLE UPON EXERCISE OF THE WARRANTS CEASED TO BE EFFECTIVE. AS A RESULT, ON JULY 16, 2008, THE WARRANTS BECAME UNEXERCISABLE, AND THE REPORTING PERSON CEASED TO HAVE A REPORTING OBLIGATION WITH RESPECT TO THE REPORTED SECURITIES. THIS FORM 4 REFLECTS BENEFICIAL OWNERSHIP OF THE REPORTING PERSON AS OF JULY 15, 2008, AND DOES NOT REFLECT ANY SUBSEQUENT ACTIVITY.
F4: THE REPORTED SECURITIES REFLECT A PURCHASE OF 25 UNITS FOR $7.00 PER UNIT AND A SALE OF 25 UNITS FOR $7.00 PER UNIT.
F5: THE REPORTED SECURITIES REFLECT A PURCHASE OF 200 UNITS FOR $7.01 PER UNIT AND A SALE OF 200 UNITS FOR $7.01 PER UNIT.