Amended Statement of Beneficial Ownership (3/a)
May 11 2017 - 10:43AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
Estimated average burden
hours per response...
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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
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Champion River Ventures Ltd
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2. Date of Event Requiring Statement (MM/DD/YYYY)
4/26/2017
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3. Issuer Name
and
Ticker or Trading Symbol
ChromaDex Corp. [CDXC]
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(Last)
(First)
(Middle)
C/O 7/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
___
X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
K3
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
5/8/2017
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common Stock
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807692
(1)
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D
(2)
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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. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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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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Champion River Ventures Limited (the "Champion River") acquired 807,692 shares of the Issuer's common stock at the closing of the first tranche pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River and Pioneer Step Holdings Limited ("Pioneer"). Pursuant to the SPA, at the closing of the second tranche, which is expected to close within 30 days of the closing of the first tranche, Champion River and Pioneer have the right to acquire an additional 6,303,814 shares of common stock of the Issuer, with the allocation of such shares between Champion River and Pioneer to be mutually agreed upon by Champion River and Pioneer at the closing of the second tranche.
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(2)
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The shares are held directly by Champion River. The sole shareholder of Champion River is Prime Tech Global Limited ("Prime Tech"), the sole shareholder of Prime Tech is Mayspin Management Limited ("Mayspin"), and the sole shareholder of Mayspin is Li Ka Shing ("Li Ka Shing"). Each of Prime Tech, Mayspin and Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by Champion River, except to the extent of its pecuniary interest therein, if any.
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Remarks:
This amendment to Form 3 is being filed to add each of Prime Tech Global Limited and Mayspin Management Limited as Reporting Persons
Exhibit 99.1 - Joint Filer Information
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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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Champion River Ventures Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
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X
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Prime Tech Global Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
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X
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Mayspin Management Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
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X
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Li Ka Shing
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
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X
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Signatures
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Champion River Ventures Limited, By: /s/ Pau Yee Wan Ezra, Director
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5/11/2017
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**
Signature of Reporting Person
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Date
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Prime Tech Global Limited, By: /s/ Pau Yee Wan Ezra, Director
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5/11/2017
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**
Signature of Reporting Person
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Date
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Mayspin Management Limited, By: /s/ Pau Yee Wan Ezra, Director
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5/11/2017
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**
Signature of Reporting Person
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Date
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/s/ Li Ka Shing
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5/11/2017
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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 5(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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