Statement of Changes in Beneficial Ownership (4)
April 08 2022 - 4:03PM
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).
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden hours per response...
0.5
|
|
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
|
|
1. Name and Address of Reporting Person
*
Rootsaert Rodney Gerard |
2. Issuer Name and Ticker or Trading Symbol
VOLITIONRX LTD
[
VNRX
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director _____ 10% Owner __X__ Officer (give title below) _____ Other (specify below) Secretary |
(Last)
(First)
(Middle)
13215 BEE CAVE PARKWAY,, SUITE 125, GALLERIA OAKS B |
3. Date of Earliest Transaction
(MM/DD/YYYY)
4/7/2022 |
(Street)
AUSTIN, TX 78738
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
|
1.Title of Security (Instr. 3)
|
2. Trans. Date
|
2A. Deemed Execution Date, if any
|
3. Trans. Code (Instr. 8)
|
4. Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
|
5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
|
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
|
7. Nature of Indirect Beneficial Ownership (Instr. 4)
|
Code
|
V
|
Amount
|
(A) or (D)
|
Price
|
Common Stock | 4/7/2022 | | A | | 7036 (1) | A | $0 | 27434 | D | |
Common Stock | | | | | | | | 1007718 | I | By Concord International, Inc. (2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Trans. Date | 3A. Deemed Execution Date, if any | 4. Trans. Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) |
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option (Right to Buy) | $3.40 | 4/7/2022 | | A | | 12967 | | (3) | 8/3/2031 | Common Stock | 12967 | $0 | 12967 (3) | D | |
Explanation of Responses: |
(1) | On August 3, 2021, the reporting person was awarded 20,104 restricted stock units, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 7,036 restricted stock units vesting. The restricted stock units are further subject to a 2-year time-based vesting schedule, vesting in two equal installments of 3,518 units on each of August 3, 2022 and August 3, 2023, respectively. Upon vesting and settlement, the reporting person will receive a number of shares of common stock equal to the number of restricted stock units that have vested. |
(2) | The shares of Common Stock are held directly by Concord International, Inc. Mr. Rootsaert is a controlling director of Concord International, Inc. and shares voting and dispositive control over the shares of Common Stock held by Concord International, Inc. |
(3) | On August 3, 2021, the reporting person was granted an option to purchase 37,050 shares of common stock, subject to vesting upon achievement of certain corporate performance goals on or prior to July 1, 2022 and also subject to time-based vesting. Certain of the performance goals were met, resulting in the rights with respect to 12,967 shares vesting. The vested shares are further subject to a 2-year time based vesting schedule, vesting in two installments of 6,483 shares and 6,484 shares on each of August 3, 2022 and August 3, 2023, respectively. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Rootsaert Rodney Gerard 13215 BEE CAVE PARKWAY, SUITE 125, GALLERIA OAKS B AUSTIN, TX 78738 |
|
| Secretary |
|
Signatures
|
/s/ Rodney Gerard Rootsaert | | 4/8/2022 |
**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 4(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 control number. |
VolitionRX (AMEX:VNRX)
Historical Stock Chart
From Jun 2024 to Jul 2024
VolitionRX (AMEX:VNRX)
Historical Stock Chart
From Jul 2023 to Jul 2024