Filing Details

Accession Number:
0001086377-13-000002
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-15 18:01:23
Reporting Period:
2013-03-14
Filing Date:
2013-03-15
Accepted Time:
2013-03-15 18:01:23
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1168220 Uluru Inc. ULUR Pharmaceutical Preparations (2834) 412118656
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1372353 K Terrance Wallberg C/O Uluru Inc.
4452 Beltway Drive
Addison TX 75001
Chief Financial Officer No Yes No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-03-14 100,000 $0.40 124,257 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2013-03-14 60,000 $0.60 60,000 $0.60
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
60,000 2013-09-10 2018-03-14 No 4 P Direct
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Employee Stock Option (Right to Buy) $14.25 2016-12-06 13,334 13,334 Direct
Common Stock Employee Stock Option (Right to Buy) $34.65 2018-02-12 5,334 5,334 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2016-12-06 13,334 13,334 Direct
2018-02-12 5,334 5,334 Direct
Footnotes
  1. On March 14, 2013, Mr. Wallberg purchased from the Company 100,000 shares of common stock at a price of $0.40 per share. The purchase will take place at the following four closings over the next twelve months: (i) 20,000 shares of common stock will be purchased at a price of $8,000 at the initial closing on March 14, 2013, (ii) 25,000 shares of common stock will be purchased at a price of $10,000 on July 14, 2013, (iii) 30,000 shares of common stock will be purchased at a price of $12,000 on November 14, 2013, and (iv) 25,000 shares of common stock will be purchased at a price of $10,000 on March 14, 2014. In connection with his purchase of the Company's common stock, Mr. Wallberg was also issued a warrant to acquire up to 60,000 shares of the Company's common stock at a fixed exercise price of $0.60 per share. The warrant will become exercisable on September 10, 2013 subject to payment of the sums described above and has an expiration date of March 14, 2018.
  2. These employee stock options became fully vested on December 6, 2010.
  3. These employee stock options became fully vested on February 12, 2012.