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SOLIGENIX, INC. — Director's Dealing 2009
Sep 28, 2009
35119_dirs_2009-09-28_d0c29eaa-0e92-4715-8bcb-5f30b9728be2.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: DOR BIOPHARMA INC (DORB)
CIK: 0000812796
Period of Report: 2009-09-24
Reporting Person: CAVAZZA CLAUDIO (10% Owner)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-09-24 | Common Stock | P | 3952569 | $0.253 | Acquired | 45619236 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-09-24 | Common Stock Warrant (warrant to buy) | $0.278 | J | 1 | Acquired | 2014-09-27 | Common Stock (1976284) | Indirect |
Footnotes
F1: Shares directly owned by Sigma-Tau Pharmaceuticals, Inc. (?Pharmaceuticals?). Pharmaceuticals is a direct wholly-owned subsidiary of Sigma-Tau America S.A. (?America?). America is a direct wholly-owned subsidiary of Sigma-Tau International S.A. (?International?). International is a direct wholly-owned subsidiary of Sigma-Tau Finanziaria S.p.A. ("Sigma Tau"). Claudio Cavazza directly and indirectly owns 57% of Sigma Tau.
F2: This warrant was issued by the Issuer to Pharmaceuticals in consideration of Pharmaceuticals? purchase of 3,952,569 shares of common stock on September 24, 2009.
F3: The expiration date of the warrant may be accelerated at the Issuer?s option if the Issuer?s common stock meets certain price thresholds and the common shares underlying the warrant are registered for resale pursuant to an effective registration statement or are freely transferable without volume restrictions pursuant to Rule 144 under the Securities Act of 1933, as amended.