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Niagen Bioscience, Inc. — Director's Dealing 2011
Oct 24, 2011
32418_dirs_2011-10-24_ff1795a3-e100-456f-9fc8-a329afaa90c7.zip
Director's Dealing
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SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: ChromaDex Corp. (CDXC.OB)
CIK: 0001386570
Period of Report: 2011-10-14
Reporting Person: Brauser Michael (N/A)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 1805714 | Direct |
| Common Stock | 1860712 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant to Purchase Common Stock | $0.21 | 2013-05-20 | Common Stock (1785714) | Direct | |
| Warrant to Purchase Common Stock | $0.21 | 2013-05-20 | Common Stock (100000) | Direct | |
| Employee Stock Options (right to buy) | $1.55 | 2020-05-20 | Common Stock (67500) | Direct | |
| Warrants to Purchase Common Stock | $0.21 | 2013-05-20 | Common Stock (1860712) | Indirect |
Footnotes
F1: See Footnote 2 for explanation of ownership.
F2: Direct beneficial ownership 1,805,714 shares of common stock ("Shares") held by Michael & Betsy Brauser TBE. Indirect beneficial ownership includes (i) 314,285 Shares held by Grander Holdings, Inc. 401K Profit Sharing Plan of which the Reporting Person is a trustee; (ii) 342,857 Shares held by the Brauser 2010 GRAT of which the Reporting Person is a trustee; (iii) 846,428 Shares held by BMB Holdings, LLLP of which the Reporting Person is the manager of its general partner; and (iv) 357,142 Shares held by Betsy Brauser Third Amended Trust Agreement beneficially owned by the Reporting Person's spouse which are disclaimed by him.
F3: Direct beneficial ownership includes (i) 67,500 employee stock options (right to buy); (ii) 100,000 immediately exercisable warrants ("Warrants"); and (iii) 1,785,714 Warrants held by Michael & Betsy Brauser TBE.
F4: Indirect beneficial ownership includes (i) 314,285 Warrants held by Grander Holdings, Inc. 401K Profit Sharing Plan of which the Reporting Person is a trustee; (ii) 342,857 Warrants held by Brauser 2010 GRAT of which the Reporting Person is a trustee; (iii) 846,428 Warrants held by BMB Holdings, LLLP of which the Reporting Person is the manager of its general partner; and (iv) 357,142 Warrants owned by Betsy Brauser Third Amended Trust Agreement beneficially owned by the Reporting Person's spouse which are disclaimed by him