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Niagen Bioscience, Inc. — Director's Dealing 2013
May 14, 2013
32418_dirs_2013-05-14_4412266e-f594-42b2-b6b6-d9f3f9cfabfb.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: ChromaDex Corp. (CDXC.OB)
CIK: 0001386570
Period of Report: 2013-05-10
Reporting Person: Brauser Michael (N/A)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2013-05-10 | Common Stock | X | 1160713 | $0.21 | Acquired | 3378567 | Indirect |
| 2013-05-13 | Common Stock | X | 342857 | $0.21 | Acquired | 3721424 | Indirect |
| 2013-05-13 | Common Stock | P | 25000 | $0.662 | Acquired | 4519926 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2013-05-10 | Warrants to Purchase Common Stock | $0.21 | X | 1160713 | Disposed | 2013-05-20 | Common Stock (1160713) | Indirect |
| 2013-05-13 | Warrants to Purchase Common Stock | $0.21 | J | 342857 | Disposed | 2013-05-20 | Common Stock (342857) | Indirect |
| 2013-05-13 | Warrants to Purchase Common Stock | $0.21 | J | 342857 | Acquired | 2013-05-20 | Common Stock (342857) | Indirect |
| 2013-05-13 | Warrants to Purchase Common Stock | $0.21 | X | 342857 | Disposed | 2013-05-20 | Common Stock (342857) | Indirect |
Footnotes
F1: (i) 314,285 Warrants exercised by Grander Holdings, Inc. 401K Profit Sharing Plan of which the Reporting Person is a trustee; and (ii) 846,428 Warrants exercised by BMB Holdings, LLLP of which the Reporting Person is the manager of its general partner.
F2: Indirect beneficial ownership includes, after giving effect to all transaction included in this Form 4, (i) 628,570 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) 342,857 Shares held by Birchtree Capital, LLC of which the Reporting Person is the manager; (iv) 1,692,856 Shares held by BMB Holdings, LLLP of which the Reporting Person is the manager of its general partner; and (v) 714,284 Shares held by Betsy Brauser Third Amended Trust Agreement beneficially owned by the Reporting Person's spouse which are disclaimed by him.
F3: 342, 857 Warrants exercised by Birchtree Capital, LLC of which the Reporting Person is the manager.
F4: After giving effect to all transactions included in this Form 4, the Reporting Person does not have indirect beneficial ownership.
F5: 342,857 Warrants transferred from Brauser 2010 GRAT of which the Reporting Perion is a trustee to Birchtree Capital, LLC of which the Reporting Person is the manager.