Statement of Changes in Beneficial Ownership (4)
30 9월 2014 - 5:04AM
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
*
Kuehne Klaus
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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)
__
X
__ Director
_____ 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)
9/25/2014
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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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5000000
(1)
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I
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By IPMD GmbH
(2)
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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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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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75000
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3/25/2015
(3)
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9/25/2024
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Common Stock
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75000
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$1.15
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75000
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D
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Stock Option (Right to Buy)
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$0.33
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(4)
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3/20/2023
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Common Stock
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100000
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100000
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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 5,000,000 shares of common stock acquired pursuant to a Securities Purchase Agreement dated December 21, 2012.
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(
2)
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Mr. Kuehne is a shareholder of IPMD GmbH and may be considered to have voting and investment powers over such shares, but disclaims beneficial ownership of the shares reported herein, except to the extent of his pecuniary interest therein, and the inclusion of the shares reported herein shall not be deemed an admission of beneficial ownership of such shares for the purposes of Section 16 or for any other purpose.
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(
3)
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This stock option will become exercisable over a two year period with 18,750 shares of common stock vesting on March 25, 2015, September 25, 2015, March 25, 2016, and September 25, 2016.
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(
4)
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This stock option became exercisable with respect to 75,000 shares of common stock on September 20, 2014 and will become exercisable with respect to an additional 25,000 shares of common stock on March 20, 2015.
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Remarks:
Exhibit List:
Exhibit 24 : Power of Attorney
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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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Kuehne Klaus
C/O ULURU INC.
4452 BELTWAY DRIVE
ADDISON, TX 75001
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X
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Signatures
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/s/ Klaus Kuehne by Terrance K. Wallberg by Power of Attorney
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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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