Statement of Changes in Beneficial Ownership (4)
30 9월 2014 - 1:04AM
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
*
Wallberg Terrance K
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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
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Chief Financial Officer
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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)
9/25/2014
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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
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124257
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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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Employee Stock Option (Right to Buy)
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$1.15
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9/25/2014
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A
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40000
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(1)
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9/25/2024
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Common Stock
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40000
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$1.15
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40000
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D
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Employee Stock Option (Right to Buy)
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$0.33
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(2)
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3/20/2023
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Common Stock
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90000
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90000
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D
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Employee Stock Option (Right to Buy)
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$14.25
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(3)
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12/6/2016
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Common Stock
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13334
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13334
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D
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Employee Stock Option (Right to Buy)
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$34.65
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(4)
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2/12/2018
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Common Stock
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5334
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5334
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D
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Warrant
(5)
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$0.6
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9/10/2013
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3/14/2018
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Common Stock
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60000
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60000
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D
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Explanation of Responses:
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(
1)
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This employee stock option will become exercisable with respect to 40,000 shares of the Company's common stock over a three year period with the vesting of such shares of the Company's common stock being determined every nine months upon a review and evaluation by the Company's Compensation Committee of Mr. Wallberg's contribution to the achievement of the Company's business plan.
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(
2)
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This employee stock option became exercisable with respect to 52,500 shares of the Company's common stock on September 25, 2014 and will become exercisable with respect to an additional 37,500 shares of the Company's common stock over an eighteen month period with the vesting of such additional shares of the Company's common stock being determined every nine months upon a review and evaluation by the Company's Compensation Committee of Mr. Wallberg's contribution to the achievement of the Company's business plan.
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(
3)
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This employee stock option became fully vested on December 6, 2010.
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(
4)
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This employee stock option became fully vested on February 12, 2012.
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(
5)
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On March 14, 2013, Mr. Wallberg purchased from the Company 100,000 shares of common stock at a price of $0.40 per share with the purchase taking place at four closings over a twelve month period. In connection with his purchase of the Company's common stock, Mr. Wallberg was also issued a warrant to acquire up to 60,000 shares of the Company's common stock at a fixed exercise price of $0.60 per share. The warrant became exercisable on September 10, 2013 and has an expiration date of March 14, 2018.
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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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Wallberg Terrance K
C/O ULURU INC.
4452 BELTWAY DRIVE
ADDISON, TX 75001
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Chief Financial Officer
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Signatures
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/s/Terrance K. Wallberg
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9/29/2014
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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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ULURU (CE) (USOTC:ULUR)
과거 데이터 주식 차트
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