Statement of Changes in Beneficial Ownership (4)
November 05 2021 - 4:07PM
Edgar (US Regulatory)
FORM 4
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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).
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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3235-0287
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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
*
Innes Guy Archibald |
2. Issuer Name and Ticker or Trading Symbol
VOLITIONRX LTD
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VNRX
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Last)
(First)
(Middle)
13215 BEE CAVE PARKWAY, SUITE 125 GALLERIA OAKS B |
3. Date of Earliest Transaction
(MM/DD/YYYY)
11/3/2021 |
(Street)
AUSTIN, TX 78738
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
_X
_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security (Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. 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
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V
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Amount
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(A) or (D)
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Price
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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. 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) | $4.00 | 11/3/2021 | | D (1) | | | 30000 | 4/15/2017 | 4/15/2022 | Common Stock | 30000 | (1) | 0 | D | |
Stock Option (Right to Buy) | $4.00 | 11/3/2021 | | A (1) | | 30000 | | 4/15/2017 | 4/15/2026 | Common Stock | 30000 | (1) | 30000 | D | |
Stock Option (Right to Buy) | $5.00 | 11/3/2021 | | D (2) | | | 20000 | 3/30/2018 | 3/30/2023 | Common Stock | 20000 | (2) | 0 | D | |
Stock Option (Right to Buy) | $5.00 | 11/3/2021 | | A (2) | | 20000 | | 3/30/2018 | 3/30/2027 | Common Stock | 20000 | (2) | 20000 | D | |
Stock Option (Right to Buy) | $4.00 | 11/3/2021 | | D (3) | | | 20000 | 1/23/2019 | 1/23/2024 | Common Stock | 20000 | (3) | 0 | D | |
Stock Option (Right to Buy) | $4.00 | 11/3/2021 | | A (3) | | 20000 | | 1/23/2019 | 1/23/2028 | Common Stock | 20000 | (3) | 20000 | D | |
Explanation of Responses: |
(1) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on April 15, 2016, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on April 15, 2026 (ten years from the original date of grant). |
(2) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on March 30, 2017, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on March 30, 2027 (ten years from the original date of grant). |
(3) | The reported transactions involved an amendment of outstanding options, resulting in the deemed cancellation of the "old" options and the grant of "replacement" options. The "old" options were originally granted on January 23, 2018, vested in full and were exercisable at 12 months from the date of grant, and were exercisable for five years from the date first exercisable. The "replacement" options are fully-vested and expire on January 23, 2028 (ten years from the original date of grant). |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Innes Guy Archibald 13215 BEE CAVE PARKWAY SUITE 125 GALLERIA OAKS B AUSTIN, TX 78738 | X |
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Signatures
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/s/ Guy Archibald Innes | | 11/5/2021 |
**Signature of Reporting Person | Date |
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