Filing Details

Accession Number:
0001144204-10-019240
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2010-04-09 13:00:00
Reporting Period:
2009-12-23
Filing Date:
2010-04-09
Accepted Time:
2010-04-09 06:06:53
Original Submission Date:
2009-12-28
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1368993 Wafergen Bio-Systems Inc. WGBS.OB Laboratory Analytical Instruments (3826) 203699764
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1435645 Alnoor Shivji C/O Wafergen Bio-Systems, Inc.,
46531 Fremont Blvd.
Fremont CA 94538
Chief Executive Officer Yes Yes 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 Acquisiton 2009-12-23 33,333 $0.00 48,333 No 4 P Indirect By Jameel Shivji Irrevocable Trust U/A dtd 12/30/04
Common Stock Acquisiton 2009-12-23 33,333 $0.00 48,333 No 4 P Indirect By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00
Common Stock Acquisiton 2009-12-23 33,333 $0.00 48,333 No 4 P Indirect By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00
Common Stock Acquisiton 2009-12-23 16,667 $0.00 895,218 No 4 P Indirect By Shivji Family Trust dtd June 12, 2000
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Jameel Shivji Irrevocable Trust U/A dtd 12/30/04
No 4 P Indirect By Shivji Children's Trust fbo Zara Shivji U/A dtd 11/30/00
No 4 P Indirect By Shivji Children's Trust fbo Suraya Shivji U/A dtd 11/30/00
No 4 P Indirect By Shivji Family Trust dtd June 12, 2000
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant Acquisiton 2009-12-23 8,333 $0.00 8,333 $2.50
Common Stock Warrant Acquisiton 2009-12-23 8,333 $0.00 8,333 $2.50
Common Stock Warrant Acquisiton 2009-12-23 8,333 $0.00 8,333 $2.50
Common Stock Warrant Acquisiton 2009-12-23 4,167 $0.00 4,167 $2.50
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
8,333 2009-12-23 2014-12-23 No 4 P Indirect
8,333 2009-12-23 2014-12-23 No 4 P Indirect
8,333 2009-12-23 2014-12-23 No 4 P Indirect
4,167 2009-12-23 2014-12-23 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,424,561 Direct
Common Stock 885,000 Indirect By Jamsz, a Alnoor and Miriam Shivji Family LLC
Footnotes
  1. The reported securities were included in Units purchased for $1.50 per Unit, with each Unit consisting of one share of common stock and one warrant to purchase 25% of one share of common stock.
  2. The original Form 4 aggregated the transaction on behalf of four separate trusts into a single line, despite the different natures of indirect beneficial ownership.
  3. An aggregate of 885,000 shares of common stock were transferred from Shivji Family Trust dtd June 12, 2000 directly or indirectly to Jamsz, a Alnoor and Miriam Shivji Family LLC, through a transaction or series of transactions that altered the reporting person's form of indirect beneficial ownership but did not involve any change in the reporting person's pecuniary interest in such shares.