ITEM 5. |
INTEREST IN SECURITIES OF THE ISSUER. |
(a) and (b) As of May 20, 2022, Champion River beneficially owned and had sole voting and dispositive power with respect to 6,500,937 Shares,
representing approximately 9.51% of the 68,334,586 outstanding Shares as of May 10, 2022, as reported in the Issuers quarterly report on Form 10-Q for the quarter ended March 31, 2022, as filed
with the Securities and Exchange Commission on May 12, 2022.
As of May 20, 2022, Prime Tech, by virtue of being the sole shareholder of
Champion River, may be deemed to beneficially own and have sole voting and dispositive power with respect to the Shares beneficially owned by Champion River.
As of May 20, 2022, Mayspin, by virtue of being the sole shareholder of Prime Tech, may be deemed to beneficially own and have sole voting and
dispositive power with respect to the Shares beneficially owned by Champion River.
As of May 20, 2022, Li Ka Shing, by virtue of being the sole
shareholder of Mayspin, may be deemed to beneficially own and have sole voting and dispositive power with respect to the Shares beneficially owned by Champion River.
(c) Information with respect to all transactions in the Shares beneficially owned by the Reporting Persons that were effected during the past sixty days is
set forth in Item 4 and incorporated herein by reference.
(d) Not applicable.
(e) Not applicable.
ITEM 6. |
CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER.
|
The information set forth in Item 4 hereof is hereby incorporated by reference into this Item 6. Except as referenced above or
described in Item 4 hereof, there are no contracts, arrangements, understandings or relationships among the Reporting Persons or between such Reporting Persons and any other person with respect to any securities of the Issuer.
ITEM 7. |
MATERIAL TO BE FILED AS EXHIBITS. |
Exhibit 99.1 Joint Filing Agreement as required by Rule 13d-1 (k)(l) under the Securities Exchange Act of 1934, as
amended.
Exhibit 99.2 Securities Purchase Agreement, dated as of November 3, 2017, by and between ChromaDex Corporation, Champion River Ventures
Limited, and certain other purchasers named therein (incorporated herein by reference to Exhibit 99.1 of the Issuers Current Report on Form 8-K, filed with the Securities and Exchange Commission on
November 6, 2017).
Exhibit 99.3 Securities Purchase Agreement, dated as of April 26, 2017, by and between ChromaDex Corporation, Champion River
Ventures Limited, and Pioneer Step Holdings Limited (incorporated herein by reference to Exhibit 99.1 of the Issuers Current Report on Form 8-K, filed with the Securities and Exchange Commission on
April 27, 2017).
Exhibit 99.4 Registration Rights Agreement, dated as of November 3,2017, by and between ChromaDex Corporation, Champion River
Ventures Limited, and certain other purchasers named therein (incorporated herein by reference to Exhibit 99.2 of the Issuers Current Report on Form 8-K, filed with the Securities and Exchange Commission
on November 6, 2017).
Exhibit 99.5 Registration Rights Agreement, dated as of April 29, 2017, by and between ChromaDex Corporation, Champion
River Ventures Limited, and Pioneer Step Holdings Limited (incorporated herein by reference to Exhibit 99.1 of the Issuers Current Report on Form 8-K, filed with the Securities and Exchange Commission on
May 2, 2017).
Exhibit 99.6 First Amendment to Securities Purchase Agreement, dated as of May 24, 2017, by and between ChromaDex Corporation,
Champion River Ventures Limited, and Pioneer Step Holdings Limited (incorporated herein by reference to Exhibit 99.1 of the Issuers Current Report on Form 8-K, filed with the Securities and Exchange
Commission on May 25, 2017).
Exhibit 99.7 Joint Venture Agreement, dated as of May 19, 2022, by and between ChromaDex Corporation, Crystal Lake
Developments Limited, Pioneer Idea Holdings Limited and Hong Kong Taikuk (China) Group Ltd (incorporated herein by reference to Exhibit 10.1 of the Issuers Current Report on Form 8-K, filed with the
Securities and Exchange Commission on May 19, 2022).