4//SEC Filing
SCHWARTZBERG DEBBIE 4
Accession 0001144204-11-051925
CIK 0001335103other
Filed
Sep 7, 8:00 PM ET
Accepted
Sep 8, 5:18 PM ET
Size
17.5 KB
Accession
0001144204-11-051925
Insider Transaction Report
Form 4
SCHWARTZBERG DEBBIE
10% Owner
Transactions
- Other
Warrant
2011-09-02−100,000→ 0 total(indirect: By Trust)Exercise: $0.01From: 2007-08-01Exp: 2013-08-01→ Common Stock (100,000 underlying) - Other
Warrant
2011-09-02−839,500→ 0 totalExercise: $0.01From: 2007-08-01Exp: 2013-08-01→ Common Stock (839,500 underlying) - Other
Common Stock
2011-09-02+100,000→ 0 total(indirect: By Trust) - Other
Common Stock
2011-09-02−839,500→ 0 total - Other
Common Stock
2011-09-02+100,000→ 0 total(indirect: By Trust) - Other
Warrant
2011-09-02−100,000→ 0 total(indirect: By Trust)Exercise: $0.01From: 2007-08-01Exp: 2013-08-01→ Common Stock (100,000 underlying)
Footnotes (5)
- [F1]Represents securities of Protea Biosciences Group, Inc. (the "Issuer") owned of record by Debbie Schwartzberg. On September 2, 2011, Ms. Schwartzberg agreed to cancel an aggregate of 839,500 shares of common stock and warrants to purchase an aggregate of 839,500 shares of common stock of the Issuer, for an aggregate purchase price equal to $8,680 in connection with a Share Cancellation Agreement, dated September 2, 2011 (the "Cancellation Agreement"). The Cancellation Agreement was executed in connection with the terms and conditions of an Angreement and Plan of Merger, dated September 2, 2011 between the Issuer, Protea Biosciences, Inc. and SRKP 5 Acquisition Corp.
- [F2]Represents securities of the Issuer owned of record by The Julie Schwartzberg Trust (the "Schwartzberg Trust"). On September 2, 2011, the Schwartzberg Trust agreed to cancel an aggregate of 100,000 shares of common stock and warrants to purchase 100,000 shares of common stock of the Issuer for an aggregate purchase price equal to $1,040 in connection with the terms and conditions of the Cancellation Agreement.
- [F3]Ms. Schwartzberg is the Trustee of the Schwartzberg Trust and has sole voting and investment control over the securities of the Issuer owned of record by the Schwartzberg Trust and therefore may be deemed to be the beneficial owner of any securities of the Issuer owned of record by the Schwartzberg Trust.
- [F4]Represents securities of the Issuer owned of record by The David N. Sterling Trust (the "Sterling Trust"). On September 2, 2011, the Sterling Trust agreed to cancel an aggregate of 100,000 shares of common stock and warrants to purchase 100,000 shares of common stock of the Issuer for an aggregate purchase price equal to $1,040 in connection with the terms and conditions of the Cancellation Agreement.
- [F5]Ms. Schwartzberg is the Trustee of the Sterling Trust and has sole voting and investment control over the securities of the Issuer owned of record by the Sterling Trust and therefore may be deemed to be the beneficial owner of any securities of the Issuer owned of record by the Sterling Trust.
Documents
Issuer
Protea Biosciences Inc.
CIK 0001335103
Entity typeother
Related Parties
1- filerCIK 0001307796
Filing Metadata
- Form type
- 4
- Filed
- Sep 7, 8:00 PM ET
- Accepted
- Sep 8, 5:18 PM ET
- Size
- 17.5 KB