Initial Statement of Beneficial Ownership (3)
June 21 2022 - 7:57AM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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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
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Chau Hoi Shuen Solina Holly |
2. Date of Event Requiring Statement (MM/DD/YYYY)
6/15/2022
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3. Issuer Name and Ticker or Trading Symbol
ChromaDex Corp. [CDXC]
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(Last)
(First)
(Middle)
C/O SUITES PT. 2909 & 2910,, HARBOUR CENTRE, 25 HARBOUR ROAD |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director ___X___ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
WANCHAI, K3
(City)
(State)
(Zip)
| 5. 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
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Common Stock | 6865604 (1)(2) | I | See Footnotes (1)(2) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
(1) | Of the reported shares (i) 5,957,783 shares of the Issuer's common stock are held directly by Pioneer Step Holdings Limited ("Pioneer Step"), (ii) 420,000 shares of the Issuer's common stock are held directly by Dvorak International Limited ("Dvorak International"), and (iii) 487,821 shares of the Issuer's common stock are held directly by Skyinvest Associates Limited ("Skyinvest Associates"). Chau Hoi Shuen Solina Holly ("Solina Chau") is the sole shareholder of each of Pioneer Step and Dvorak International, and Skyinvest Associates is wholly-owned by Solina Chau through intermediate entities that are directly or indirectly wholly-owned by Solina Chau. |
(2) | (continued from Footnote 1) As such, Solina Chau may be deemed to beneficially own the shares of the Issuer's common stock directly held by Pioneer Step, Dvorak International and Skyinvest Associates. Solina Chau disclaims Section 16 beneficial ownership of the securities held by each of Pioneer Step, Dvorak International and Skyinvest Associates, except to the extent of her pecuniary interest therein, if any. |
Remarks: Exhibit 99.1 Joint Filer Information. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Chau Hoi Shuen Solina Holly C/O SUITES PT. 2909 & 2910, HARBOUR CENTRE, 25 HARBOUR ROAD WANCHAI, K3 |
| X |
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Pioneer Step Holdings Ltd C/O SUITES PT. 2909 & 2910, HARBOUR CENTRE, 25 HARBOUR ROAD WANCHAI, K3 |
| X |
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Dvorak International Ltd C/O SUITES PT. 2909 & 2910, HARBOUR CENTRE, 25 HARBOUR ROAD WANCHAI, K3 |
| X |
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Signatures
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Chau Hoi Shuen Solina Holly, By: /s/ Chau Hoi Shuen Solina Holly | | 6/21/2022 |
**Signature of Reporting Person | Date |
Pioneer Step Holdings Limited, By: /s/ Chau Hoi Shuen Solina Holly, Title: Authorized Signatory | | 6/21/2022 |
**Signature of Reporting Person | Date |
Dvorak International Limited, By: /s/ Chau Hoi Shuen Solina Holly, Title: Authorized Signatory | | 6/21/2022 |
**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 5(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. |
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