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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, Section 17(a) of the Public Utility Holding Company Act of 1935 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) |
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 | ||||||||
Options (Right to buy) | $ 0.54 | 11/29/2011 | A | 3,750 | 05/29/2012 | 11/29/2016 | Common Stock | 3,750 | $ 0 | 3,750 | D | ||||
Options (Right to buy) | $ 0.54 | 11/29/2011 | A | 3,750 | 11/29/2012 | 11/29/2016 | Common Stock | 3,750 | $ 0 | 7,500 | D | ||||
Options (Right to buy) | $ 0.54 | 11/29/2011 | A | 3,750 | 05/29/2013 | 11/29/2016 | Common Stock | 3,750 | $ 0 | 11,250 | D | ||||
Options (Right to buy) | $ 0.54 | 11/29/2011 | A | 3,750 | 11/29/2013 | 11/29/2016 | Common Stock | 3,750 | $ 0 | 15,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zerbe Ingrid 714 MAIN ROAD HUDSON, A8 J0P 1H0 |
X | Corporate Secretary |
/s/ Ingrid Zerbe | 12/02/2011 | |
**Signature of Reporting Person | Date |
* | 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) | In connection with the acquisition of IntelGenx in 2006, Ingrid Zerbe became our Corporate Secretary and Director of Finance and Administration and acquired 4,709,643.5 exchangeable Shares of our Canadian holding corporation 6544631Canada Inc., a Canadian special purpose corporation which wholly owns IntelGenx Corp. (the "Exchangeable Shares"). In June of 2009 Ms. Zerbe acquired 1,021,713 Exchangeable Shares from Joel Cohen in a private transaction. The 5,731,356.5 Exchangeable Shares are exchangeable, on a one for one basis, into shares of common stock of IntelGenx Technologies Corp. at Ms. Zerbe's discretion. As of today 573,135 exchangeable shares have been exchanged into common stock of IntelGenx Technologies Corp. Prior to exchanging the remaining Exchangeable Shares, Ms. Zerbe has the right to vote 5,158,221.5 shares of common stock which are currently held in trust on behalf of Ms. Zerbe. The common shares have not been registered for resale at this time. |