Form 4 - Statement of changes in beneficial ownership of securities
September 07 2023 - 6:23AM
Edgar (US Regulatory)
SEC Form 4
FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
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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OMB APPROVAL |
OMB Number: |
3235-0287 |
Estimated average burden |
hours per response: |
0.5 |
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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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Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10. |
1. Name and Address of Reporting Person*
C/O 7/F, CHEUNG KONG CENTER |
2 QUEEN'S ROAD CENTRAL |
(Street)
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2. Issuer Name and Ticker or Trading Symbol
ChromaDex Corp.
[ CDXC ]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X |
Director |
X |
10% Owner |
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Officer (give title below) |
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Other (specify below) |
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3. Date of Earliest Transaction
(Month/Day/Year) 09/06/2023
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4. If Amendment, Date of Original Filed
(Month/Day/Year)
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6. Individual or Joint/Group Filing (Check Applicable Line)
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Form filed by One Reporting Person |
X |
Form filed by More than One Reporting Person |
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned |
1. Title of Security (Instr.
3)
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2. Transaction Date
(Month/Day/Year) |
2A. Deemed Execution Date, if any
(Month/Day/Year) |
3. Transaction 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 |
V |
Amount |
(A) or (D) |
Price |
Common Stock |
09/06/2023 |
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P |
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3,467,778
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A |
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11,408,715
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I
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See footnote
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Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivative Security (Instr.
3)
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2. Conversion or Exercise Price of Derivative Security
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3. Transaction Date
(Month/Day/Year) |
3A. Deemed Execution Date, if any
(Month/Day/Year) |
4. Transaction 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
(Month/Day/Year) |
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: Direct (D) or Indirect (I) (Instr.
4)
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11. Nature of Indirect Beneficial Ownership (Instr.
4)
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Code |
V |
(A) |
(D) |
Date Exercisable |
Expiration Date |
Title |
Amount or Number of Shares |
1. Name and Address of Reporting Person*
C/O 7/F, CHEUNG KONG CENTER |
2 QUEEN'S ROAD CENTRAL |
(Street)
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1. Name and Address of Reporting Person*
C/O 7/F, CHEUNG KONG CENTER |
2 QUEEN'S ROAD CENTRAL |
(Street)
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1. Name and Address of Reporting Person*
C/O 7/F, CHEUNG KONG CENTER |
2 QUEEN'S ROAD CENTRAL |
(Street)
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1. Name and Address of Reporting Person*
C/O 7/F, CHEUNG KONG CENTER |
2 QUEEN'S ROAD CENTRAL |
(Street)
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Explanation of Responses: |
Remarks: |
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LI KA SHING, /s/ Li Ka Shing |
09/07/2023 |
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CHAMPION RIVER VENTURES LIMITED, /s/ Pau Yee Wan Ezra |
09/07/2023 |
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PRIME TECH GLOBAL LIMITED, /s/ Pau Yee Wan Ezra |
09/07/2023 |
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MAYSPIN MANAGEMENT LIMITED, /s/ Pau Yee Wan Ezra |
09/07/2023 |
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** 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 Number. |
Exhibit 99.1
FORM 4 JOINT FILER INFORMATION
Names of Joint Filers:
Li Ka Shing
Champion River Ventures Limited
Prime Tech Global Limited
Mayspin Management Limited
Address of Joint Filers:
C/O 7/F, CHEUNG KONG CENTER,
2 QUEEN'S ROAD, CENTRAL,
HONG KONG
Designated Filer:
Champion River Ventures Limited
Issuer and Ticker Symbol:
ChromaDex Corporation [CDXC]
Date of Event:
September 6, 2023
Signatures of Joint Filers:
Li Ka Shing
By: /s/ Li Ka Shing
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Champion River Ventures Limited
By: /s/ Pau Yee Wan Ezra
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Prime Tech Global Limited
By: /s/ Pau Yee Wan Ezra
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Mayspin Management Limited
By: /s/ Pau Yee Wan Ezra
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Exhibit 99.1
FORM 4 JOINT FILER INFORMATION
Names of Joint Filers:
Li Ka Shing
Champion River Ventures Limited
Prime Tech Global Limited
Mayspin Management Limited
Address of Joint Filers:
C/O 7/F, CHEUNG KONG CENTER,
2 QUEEN'S ROAD, CENTRAL,
HONG KONG
Designated Filer:
Champion River Ventures Limited
Issuer and Ticker Symbol:
ChromaDex Corporation [CDXC]
Date of Event:
September 6, 2023
Signatures of Joint Filers:
Li Ka Shing
By: /s/ Li Ka Shing
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Champion River Ventures Limited
By: /s/ Pau Yee Wan Ezra
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Prime Tech Global Limited
By: /s/ Pau Yee Wan Ezra
--------------------
Mayspin Management Limited
By: /s/ Pau Yee Wan Ezra
--------------------
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