4: Statement of changes in beneficial ownership of securities
Published on May 24, 2016
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES 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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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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) |
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Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||||||
Stock Option (Right to Buy) | $ 3 | 05/20/2016 | M | 20,000 | 05/25/2012 | 05/25/2016 | Common Stock | 20,000 | $ 0 | 0 | I | Borlaug Limited (3) |
Reporting Owners
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Micallef Jacob Vincent 1 SCOTTS ROAD #24-05 SHAW CENTRE SINGAPORE, U0 228208 |
Chief Scientific Officer |
Signatures
/s/ Jacob Micallef | 05/24/2016 | |
**Signature of Reporting Person | Date |
Explanation of Responses:
* | 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). |
(1) | Represents the aggregate amount of shares of VolitionRx Limited Common Stock ("Common Stock") disposed of in a cashless exercise. |
(2) | The shares of Common Stock are held directly by Borlaug Limited. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the shares of Common Stock issued to Borlaug Limited upon the exercise of the Option. Dr. Micallef disclaims beneficial ownership of the shares of Common Stock issued upon exercise of the Option, except to the extent of his pecuniary interest. |
(3) | The Option is held directly by Borlaug Limited. Dr. Micallef is a controlling director of Borlaug Limited and has voting and dispositive control over the shares of Common Stock issuable upon the exercise of the Option. Dr. Micallef disclaims beneficial ownership of the shares of Common Stock issuable upon the exercise of the Option, except to the extent of his pecuniary interest. |