| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES 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*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 09/03/2013 |
3. Issuer Name and Ticker or Trading Symbol
VACCINOGEN INC [ VGEN ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) 09/03/2013 |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
| Common Stock(1) | 218,179 | D(2) | |
| Common Stock(1) | 3,423,839 | I | Ownership by Hanna Enterprises, LLC(3) |
| Common Stock(1) | 23,188 | I | Ownership by Intracel Holding Corporation(4) |
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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 Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Warrant (right to buy)(1) | 06/02/2008 | 02/28/2015 | Common Stock | 200,000 | $1 | D(2) | |
1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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1. Name and Address of Reporting Person*
(Street)
Relationship of Reporting Person(s) to Issuer
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| Explanation of Responses: |
| 1. This amended Form 3 is being filed to (a) include Hanna Enterprises, LLC (the "LLC") as a 10% owner of issuer securities, (b) remove 84,083 shares reported in the prior Form 3 as owned by Dr. Michael G. Hanna, Jr., and (c) correct and clarify the ownership form of the securities owned by the LLC and Dr. Hanna. The ownership and other information reflected in this amended Form 3 is as of its original filing date (September 3, 2013). |
| 2. These securities are owned directly by Dr. Hanna. |
| 3. These securities are owned directly by the LLC, a 10% owner of the issuer, and indirectly by Dr. Hanna as a member and general manager of the LLC. Dr. Hanna is an officer, director and 10% owner of the issuer. Dr. Hanna disclaims beneficial ownership of these reported securities except to the extent of his pecuniary interest therein. |
| 4. These securities are owned directly by Intracel Holding Corporation ("Intracel") and indirectly by Dr. Hanna, as an owner of Intracel. |
| /s/ Michael G. Hanna, Jr. | 07/07/2015 | |
| /s/ Michael G. Hanna, Jr., General Manager of Hanna Enterprises, LLC | 07/07/2015 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (b)(v). | ||
| ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||