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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) | $ 0.61 | 11/24/2009 | A | 6,250 | 05/24/2010 | 11/24/2014 | Common Stock | 6,250 | $ 0 | 231,250 | D | ||||
Options (Right to buy) | $ 0.61 | 11/24/2009 | A | 6,250 | 11/24/2010 | 11/24/2014 | Common Stock | 6,250 | $ 0 | 237,500 | D | ||||
Options (Right to buy) | $ 0.61 | 11/24/2009 | A | 6,250 | 05/24/2011 | 11/24/2014 | Common Stock | 6,250 | $ 0 | 243,750 | D | ||||
Options (Right to buy) | $ 0.61 | 11/24/2009 | A | 6,250 | 11/24/2011 | 11/24/2014 | Common Stock | 6,250 | $ 0 | 250,000 | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Zerbe Horst G 714 MAIN ROAD HUDSON, A8 JOP1H0 |
X | X | CEO, President |
/s/ Horst Zerbe | 11/27/2009 | |
**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) | The issuer acquired a subsidiary, IntelGenx Corp.,in April of 2006. As part of this Acquisition, Horst G. Zerbe became President, CEO and Director of the Issuer and acquired 4,709,643.5 exchangeable shares of the Company's Canadian subsidiary, 6544631 Canada Inc. These 4,709,643.5 shares are exchangeable, on a one for one basis, into shares of common stock of the Issuer at Horst G. Zerbe's discretion. Prior to exchanging the exchangeable shares for shares of the issuer, Horst Zerbe has the right to vote 4,709,643.5 shares of the Issuer. It is because of these vote rights, which indicate control over the shares, that these shares are included on this Form 4. The 4,709,643.5 shares of the Issuer have not been registered for resale at this time. The acquisition and the terms under which the exchangable shares were issued are more completely described in the Issuer's Report on the SB-2 filed on July 3, 2006. |