Filing Details
- Accession Number:
- 0001567515-13-000004
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-10-28 14:53:00
- Reporting Period:
- 2013-10-24
- Filing Date:
- 2013-10-28
- Accepted Time:
- 2013-10-28 14:53:00
- 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 |
|---|---|---|---|---|---|---|---|
| 1567515 | Gmbh Ipmd | C/O Uluru Inc. 4452 Beltway Drive Addison TX 75001 | No | No | Yes | 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, Par Value $0.001 | Acquisiton | 2013-10-24 | 750,000 | $0.40 | 3,750,000 | No | 4 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Direct |
Reported Derivative Holdings
| Sec. Name | Sec. Type | Price | Date | Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|---|---|---|---|
| Common Stock | Securities Purchase Agreement | $0.40 | 2014-01-03 | 1,250,000 | 1,250,000 | Direct | |
| Common Stock | Warrant to purchase common stock, par value $0.001 | $0.60 | 2013-01-03 | 2014-01-03 | 3,000,000 | 3,000,000 | Direct |
| Expiration Date | Amount | Remaning Holdings | Nature of Ownership |
|---|---|---|---|
| 2014-01-03 | 1,250,000 | 1,250,000 | Direct |
| 2014-01-03 | 3,000,000 | 3,000,000 | Direct |
Footnotes
- IPMD GmbH is the owner of 3,750,000 shares of common stock acquired pursuant to a Securities Purchase Agreement dated December 21, 2012. The acquisition of 1,000,000, 1,250,000, 750,000, and 750,000 shares of common stock occurred on January 3, 2013, May 7, 2013, September 6, 2013, and October 24, 2013, respectively.
- As part of the Securities Purchase Agreement dated December 21, 2012, IPMD GmbH has committed to purchase 1,250,000 additional shares of common stock on or before January 3, 2014.
- IPMD GmbH is the holder of a warrant to purchase up to 3,000,000 shares of common stock acquired pursuant to a Securities Purchase Agreement dated December 21, 2012. The warrant has vested with respect to 2,250,000 shares of common stock and, provided the IPMD GmbH complies with its obligation to purchase additional shares of common stock on or before January 3, 2014, will vest with respect to 750,000 shares of common stock on or before January 3, 2014 assuming the closing scheduled on such date occurs.
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