0001144204-14-026026.txt : 20140430 0001144204-14-026026.hdr.sgml : 20140430 20140430113326 ACCESSION NUMBER: 0001144204-14-026026 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131031 FILED AS OF DATE: 20140430 DATE AS OF CHANGE: 20140430 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: NICOLIS JOHN CENTRAL INDEX KEY: 0001585750 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-54997 FILM NUMBER: 14796823 MAIL ADDRESS: STREET 1: 5300 WESTVIEW DRIVE STREET 2: SUITE 406 CITY: FREDERICK STATE: MD ZIP: 21703 4 1 v376516_4.xml FORM 4 X0306 4 2013-10-31 0 0001453001 VACCINOGEN INC VGEN 0001585750 NICOLIS JOHN 5300 WESTVIEW DRIVE SUITE 406 FREDERICK MD 21703 1 0 1 0 Common Stock 2013-12-31 4 G 0 3636 5.50 A 45972 D Common Stock 2013-10-31 4 A 0 866 0 A 217611 I Trust Common Stock 2500000 I Trust Common Stock Purchase Warrant 1.00 2008-06-01 2015-02-28 Common Stock 533800 533800 I Trust Common Stock Purchase Warrant 1.00 2008-06-01 2015-02-28 Common Stock 651690 651690 I Trust Common Stock Purchase Warrant 6.05 2012-12-31 2017-12-31 Common Stock 9258 9258 I Trust These shares were issued as restricted stock grants which shares vest only upon a "Public Offering" or "Deemed Liquidation Event" (as defined in Vaccinogen's certificate of incorporation Issued as adjustment shares for no additional cost in connection with certain anti-dilution rights contained in the investment documents under which Mr. Nicolis previously received shares of common stock. /s/ John Nicolis 2014-04-29