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