Filing Details
- Accession Number:
- 0001144204-14-008792
- Form Type:
- 5
- Zero Holdings:
- No
- Publication Time:
- 2014-02-13 20:27:02
- Reporting Period:
- 2012-09-25
- Filing Date:
- 2014-02-13
- Accepted Time:
- 2014-02-13 20:27:02
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 1335103 | Protea Biosciences Group Inc. | NONE | Pharmaceutical Preparations (2834) | 000000000 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1529381 | Ed Roberson | 955 Hartman Run Road Morgantown WV 26507 | Yes | No | 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 | 2013-07-23 | 76,347 | $0.50 | 235,456 | No | 5 | P | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 5 | P | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Convertible Note | Disposition | 2013-07-23 | 76,347 | $38,174.00 | 76,347 | $0.50 |
| Common Stock | Warrant | Acquisiton | 2013-07-23 | 57,260 | $62,986.00 | 57,260 | $1.10 |
| Common Stock | Stock Option | Acquisiton | 2010-04-23 | 100,000 | $150,000.00 | 100,000 | $1.50 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 110,000 | 2013-07-23 | 2013-07-23 | No | 4 | C | Direct |
| 167,260 | 2013-07-23 | 2018-07-23 | No | 4 | P | Direct |
| 267,260 | 2010-04-23 | 2020-04-23 | No | 4 | P | Direct |
Footnotes
- On June 30, 2013, pursuant to the terms and conditions of a Conversion Agreement, dated June 7, 2013 (the "Conversion Agreement") Ed Roberson (the "Reporting Person") converted the outstanding principal and interest due pursuant to a convertible promissory note (the "Note") issued to the Reporting Person on September 25, 2012 (the "Issue Date") in an aggregate amount equal to $38,173.into 76,347 shares of common stock.
- Includes 167,600 shares of common stock owned of record by the Reporting Person and 67,856 shares of common stock owned of record by Morgan Keegan & Co., Inc. IRA c/o Ed Roberson (the "Roberson IRA").
- Represents the principal amount plus all accrued unpaid interest due under the Note.
- Includes options to purchase 100,000 shares of common stock issued to Mr. Roberson and warrants to purchase 110,000 shares of common stock owned of record by Mr. Roberson and the Roberson IRA.
- Represents shares vested as of February 10, 2014.
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