Statement of Changes in Beneficial Ownership (4)
07 9월 2013 - 7:34AM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
IPMD GmbH
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2. Issuer Name
and
Ticker or Trading Symbol
ULURU INC.
[
ULUR
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
C/O ULURU INC., 4452 BELTWAY DRIVE
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3. Date of Earliest Transaction
(MM/DD/YYYY)
9/6/2013
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(Street)
ADDISON, TX 75001
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_
X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common stock, par value $0.001
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9/6/2013
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P
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750000
(1)
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A
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$0.4
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3000000
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D
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Securities Purchase Agreement
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$0.4
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(2)
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1/3/2014
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Common Stock
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2000000
(2)
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2000000
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D
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Warrant to purchase common stock, par value $0.001
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$0.6
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1/3/2013
(3)
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1/3/2014
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Common Stock
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3000000
(3)
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3000000
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D
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Explanation of Responses:
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(
1)
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IPMD GmbH is the owner of 3,000,000 shares of common stock acquired pursuant to a Securities Purchase Agreement dated December 21, 2012. The acquisition of 1,000,000, 1,250,000, and 750,000 shares of common stock occurred on January 3, 2013, May 7,2013, and September 6, 2013, respectively.
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(
2)
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As part of the Securities Purchase Agreement dated December 21, 2012, IPMD GmbH has committed to purchase 2,000,000 additional shares of common stock on or before January 3, 2014.
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(
3)
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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 1,800,000 shares of common stock and, provided that IPMD GmbH complies with its obligation to purchase additional shares of common stock on or before January 3, 2014, will vest with respect to 1,200,000 shares of common stock on or before January 3, 2014 assuming the closing scheduled on such date occurs.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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IPMD GmbH
C/O ULURU INC.
4452 BELTWAY DRIVE
ADDISON, TX 75001
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X
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Signatures
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IPMD GmbH by Terrance K. Wallberg, by Power of Attorney
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9/6/2013
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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