Statement of Changes in Beneficial Ownership (4)
November 21 2017 - 12:02PM
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
*
Champion River Ventures Ltd
|
2. Issuer Name
and
Ticker or Trading Symbol
ChromaDex Corp.
[
CDXC
]
|
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
_____ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
|
(Last)
(First)
(Middle)
C/O 7/F, CHEUNG KONG CENTER, 2 QUEEN'S ROAD CENTRAL
|
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/17/2017
|
(Street)
K3
(City)
(State)
(Zip)
|
4. If Amendment, Date Original Filed
(MM/DD/YYYY)
|
6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ 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
|
11/17/2017
|
|
P
|
|
731707
(1)
|
A
|
$4.10
|
6500937
|
D
(2)
(3)
|
|
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
|
Explanation of Responses:
|
(1)
|
On November 17, 2017, Champion River Ventures Limited ("Champion River") acquired 731,707 shares of the Issuer's common stock pursuant to the transactions contemplated by the Securities Purchase Agreement, dated November 3, 2017 (the "SPA"), by and among the Issuer, Champion River and various other purchasers named therein.
|
(2)
|
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 or his pecuniary interest therein, if any.
|
(3)
|
Winsave Resources Limited, a company organized under the laws of British Virgin Islands ("Winsave"), acquired 1,219,512 shares pursuant to the SPA. All of the equity of Winsave is owned by Li Ka Shing (Overseas) Foundation, a company incorporated under the laws of the Cayman Islands (the "Foundation"). Investment decisions by the Foundation are made by the majority vote of a board of directors currently consisting of 14 persons, of which Li Ka Shing is the Chairman. Investment decisions by Winsave are made by the majority vote of a board of directors currently consisting of five persons. Li Ka Shing is not a director or officer of Winsave. Li Ka Shing disclaims Section 16 beneficial ownership of the securities held by the Foundation, except to the extent of his pecuniary interest therein, if any.
|
Reporting Owners
|
Reporting Owner Name / Address
|
Relationships
|
Director
|
10% Owner
|
Officer
|
Other
|
Champion River Ventures Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
|
|
X
|
|
|
Prime Tech Global Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
|
|
X
|
|
|
Mayspin Management Ltd
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
|
|
X
|
|
|
Li Ka Shing
C/O 7/F, CHEUNG KONG CENTER
2 QUEEN'S ROAD CENTRAL
K3
|
|
X
|
|
|
Signatures
|
Champion River Ventures Limited, By: /s/ Pau Yee Wan Ezra, Director
|
|
11/21/2017
|
**
Signature of Reporting Person
|
Date
|
Prime Tech Global Limited, By: /s/ Pau Yee Wan Ezra, Director
|
|
11/21/2017
|
**
Signature of Reporting Person
|
Date
|
Mayspin Management Limited, By: /s/ Pau Yee Wan Ezra, Director
|
|
11/21/2017
|
**
Signature of Reporting Person
|
Date
|
/s/ Li Ka Shing
|
|
11/21/2017
|
**
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.
|
ChromaDex (NASDAQ:CDXC)
Historical Stock Chart
From Mar 2024 to Apr 2024
ChromaDex (NASDAQ:CDXC)
Historical Stock Chart
From Apr 2023 to Apr 2024