Statement of Changes in Beneficial Ownership (4)
April 20 2015 - 4:04PM
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
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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
*
Zerbe Ingrid
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2. Issuer Name
and
Ticker or Trading Symbol
IntelGenx Technologies Corp.
[
IGXT
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
_____ 10% Owner
__
X
__ Officer (give title below)
_____ Other (specify below)
Corporate Secretary
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(Last)
(First)
(Middle)
714 MAIN ROAD
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2015
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(Street)
HUDSON, A8 J0P 1H0
(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 Shares ($0.0001 par value)
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4/16/2015
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S
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14950
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D
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$.68
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513185
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D
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Common Shares ($0.0001 par value)
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4/16/2015
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S
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2550
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D
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$.69
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510635
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D
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Common Shares ($0.0001 par value)
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4/16/2015
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S
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2500
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D
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$.685
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508135
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D
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Common Shares ($0.0001 par value)
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4/17/2015
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S
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5175
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D
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$.66
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502960
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D
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Common Shares ($0.0001 par value)
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4/17/2015
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S
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14825
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D
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$.652
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488135
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D
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Common Shares ($0.0001 par value)
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4/17/2015
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S
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10000
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D
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$.651
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478135
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D
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Common Shares ($0.0001 par value)
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4/17/2015
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S
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10000
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D
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$.655
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468135
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D
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Common Shares ($0.0001 par value)
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4/20/2015
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S
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6900
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D
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$.65
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461235
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D
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Common Shares ($0.0001 par value)
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5158221
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I
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See footnote
(1)
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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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Explanation of Responses:
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(
1)
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In connection with the acquisition of IntelGenx in 2006, Ingrid Zerbe became our Corporate Secretary and Director of Finance and Administration and acquired 4,709,643.5 exchangeable Shares of our Canadian holding corporation 6544631Canada Inc., a Canadian special purpose corporation which wholly owns IntelGenx Corp. (the "Exchangeable Shares"). In June of 2009 Ms. Zerbe acquired 1,021,713 Exchangeable Shares from Joel Cohen in a private transaction. The 5,731,356.5 Exchangeable Shares are exchangeable, on a one for one basis, into shares of common stock of IntelGenx Technologies Corp. at Ms. Zerbe's discretion. As of today 573,135 exchangeable shares have been exchanged into common stock of IntelGenx Technologies Corp. Prior to exchanging the remaining Exchangeable Shares, Ms. Zerbe has the right to vote 5,158,221.5 shares of common stock which are currently held in trust on behalf of Ms. Zerbe. The common shares have not been registered for resale at this time.
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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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Zerbe Ingrid
714 MAIN ROAD
HUDSON, A8 J0P 1H0
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Corporate Secretary
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Signatures
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/s/ Ingrid Zerbe
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4/20/2015
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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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