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Filing Details

Accession Number:: 0001437749-14-008616
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-05-09 16:55:05
Reporting Period:: 2014-02-07

Filing Date:: 2014-05-09
Accepted Time:: 2014-05-09 16:55:05
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1544238	Cardax Inc.	CDXI	Pharmaceutical Preparations (2834)	454484428

Insiders

Cik	Name	Reported Address	Director	Officer	Large Shareholder	Other
356343	Paulson Investment Company, Inc.	1331 Nw Lovejoy Street, Suite 720 Portland OR 97209	No	No	Yes	No
704159	Paulson Capital (Delaware) Corp.	1331 Nw Lovejoy Street, Suite 720 Portland OR 97209	No	No	Yes	No
1576041	Paulson Cardax Investments 1 Llc	1331 Nw Lovejoy Street, Suite 720 Portland OR 97209	No	No	Yes	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-02-24	500,000	$0.20	1,300,000	No	4	P	Indirect	By Paulson Investment Company, Inc.

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Paulson Investment Company, Inc.

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Warrants (right to buy)	Acquisiton	2014-02-07	1,068,477	$0.00	1,068,477	$0.63

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
1,068,477	2014-02-07	2019-02-07	No	4	J	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	3,872,434	Indirect	By Paulson Cardax Investments 1, LLC

Reported Derivative Holdings

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Sec. Name	Sec. Type	Price	Date	Expiration Date	Amount	Remaning Holdings	Nature of Ownership
Common Stock	Warrants (right to buy)	$0.63	2014-02-07	2019-02-07	3,872,434	3,872,434	Indirect

Expiration Date	Amount	Remaning Holdings	Nature of Ownership
2019-02-07	3,872,434	3,872,434	Indirect

Footnotes

Paulson Investment Company, Inc. is a majority owned subsidiary of Paulson Capital (Delaware) Corp. Chester L.F. and Jacqueline M. Paulson (together the "Paulsons") are the managing partners of the Paulson Family LLC, which may be deemed to control Paulson Capital (Delaware) Corp. The Paulsons and Paulson Capital (Delaware) Corp. may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares and warrants owned directly by Paulson Investment Company, Inc. The Paulsons and Paulson Capital (Delaware) Corp. disclaim beneficial ownership of such shares except to the extent of their pecuniary interest therein.
Paulson Investment Company, Inc. is the managing member of Paulson Cardax Investments 1, LLC and holds voting and investment control over the shares and warrants held by Paulson Cardax Investments 1, LLC. Paulson Investment Company, Inc. is a majority owned subsidiary of Paulson Capital (Delaware) Corp. The Paulsons are the managing partners of the Paulson Family LLC, which may be deemed to control Paulson Capital (Delaware) Corp. The Paulsons, Paulson Capital (Delaware) Corp. and Paulson Investment Company, Inc. may be deemed to indirectly beneficially own (as that term is defined in Rule 13d-3 under the Act) the shares and warrants owned directly by Paulson Cardax Investments 1, LLC. The Paulsons and Paulson Capital (Delaware) Corp. disclaim beneficial ownership of such shares and warrants except to the extent of their pecuniary interest therein.
Warrants acquired in connection with Paulson Investment Company, Inc.'s services as a sub-placement agent for a private placement of the issuer's securities.