0001144204-14-052508.txt : 20140826 0001144204-14-052508.hdr.sgml : 20140826 20140826162753 ACCESSION NUMBER: 0001144204-14-052508 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140822 FILED AS OF DATE: 20140826 DATE AS OF CHANGE: 20140826 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: VACCINOGEN INC CENTRAL INDEX KEY: 0001453001 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 STATE OF INCORPORATION: MD BUSINESS ADDRESS: STREET 1: 5300 WESTVIEW DRIVE STREET 2: SUITE 406 CITY: FREDERICK STATE: MD ZIP: 21703 BUSINESS PHONE: 301-668-8400 MAIL ADDRESS: STREET 1: 5300 WESTVIEW DRIVE STREET 2: SUITE 406 CITY: FREDERICK STATE: MD ZIP: 21703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Halldin Anders Ture Georg CENTRAL INDEX KEY: 0001361393 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54997 FILM NUMBER: 141065548 MAIL ADDRESS: STREET 1: ODLINGSVAGEN 10 CITY: ALTA STATE: V7 ZIP: SE-13836 FORMER NAME: FORMER CONFORMED NAME: Halldin Anders DATE OF NAME CHANGE: 20060502 4 1 v387767_4.xml FORM 4 X0306 4 2014-08-22 0 0001453001 VACCINOGEN INC VGEN 0001361393 Halldin Anders Ture Georg ODLINGSVAGEN 10 ALTA V7 SE-13836 SWEDEN 1 0 1 0 Call Option (right to buy) 2014-08-22 4 P 0 12727272 A 2014-08-22 Common Stock 12727272 D Put Option (obligation to buy) 2014-08-22 4 S 0 1869159 D 2014-08-22 Common Stock 1869159 D The reporting person acquired an option, exercisable at any time (subject to the limitation set forth in subsection b), to buy: (a) up to 7,272,727 shares of common stock, at a price of $5.50 per share; and (b) up to 5,454,545 shares of common stock, at a purchase price of $5.50 per share, although this option will expire on the sixth (6th) month anniversary of August 22, 2014. The reporting person wrote a put option, exercisable at any time, with an obligation to buy 1,869,159 shares of common stock, at a price of $5.35 per share. If such purchase is made by August 31, 2014, the reporting person will receive a warrant to purchase 272,727 shares of common stock, if such purchase is made between September 1, 2014 and September 15, 2014, the reporting person will receive a warrant to purchase 136,363 shares of common stock, and if such purchase is made after September 15, 2014, the reporting person will not receive any warrants. In connection with writing this put option the reporting person acquired a call option (right to buy), exercisable at any time, to buy the same securities on the same terms. /s/ Anders Ture Georg Halldin 2014-08-26