0001372353-16-000001.txt : 20160331
0001372353-16-000001.hdr.sgml : 20160331
20160331151542
ACCESSION NUMBER: 0001372353-16-000001
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20160329
FILED AS OF DATE: 20160331
DATE AS OF CHANGE: 20160331
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: ULURU Inc.
CENTRAL INDEX KEY: 0001168220
STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834]
IRS NUMBER: 412118656
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 4452 BELTWAY DRIVE
CITY: ADDISON
STATE: TX
ZIP: 75001
BUSINESS PHONE: 214-905-5145
MAIL ADDRESS:
STREET 1: 4452 BELTWAY DRIVE
CITY: ADDISON
STATE: TX
ZIP: 75001
FORMER COMPANY:
FORMER CONFORMED NAME: ULURU INC.
DATE OF NAME CHANGE: 20060417
FORMER COMPANY:
FORMER CONFORMED NAME: OXFORD VENTURES INC
DATE OF NAME CHANGE: 20020225
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Wallberg Terrance K
CENTRAL INDEX KEY: 0001372353
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-33618
FILM NUMBER: 161543100
MAIL ADDRESS:
STREET 1: C/O ULURU INC.
STREET 2: 4452 BELTWAY DRIVE
CITY: ADDISON
STATE: TX
ZIP: 75001
4
1
primary_doc.xml
PRIMARY DOCUMENT
X0306
4
2016-03-29
0
0001168220
ULURU Inc.
ULUR
0001372353
Wallberg Terrance K
C/O ULURU INC.
4452 BELTWAY DRIVE
ADDISON
TX
75001
1
1
0
0
Chief Financial Officer
Common stock, par value $0.001
2016-03-29
4
P
0
701262
0.0713
A
825519
D
Warrant to purchase common stock, par value $0.001
0.0871
2016-03-29
4
P
0
701262
0.0871
A
2016-03-29
2021-03-29
Common Stock
701262
701262
D
Warrant to purchase common stock, par value $0.001
0.6
2013-09-10
2018-03-14
Common Stock
60000
60000
D
Employee Stock Option (Right to Buy)
1.15
2024-09-25
Common Stock
40000
40000
D
Employee Stock Option (Right to Buy)
0.33
2023-03-20
Common Stock
90000
90000
D
Employee Stock Option (Right to Buy)
34.65
2018-02-12
Common Stock
5334
5334
D
Employee Stock Option (Right to Buy)
14.25
2016-12-06
Common Stock
13334
13334
D
Under a Stock Purchase Agreement, dated as of March 29, 2016, with the Company and certain other investors, Mr. Wallberg purchased 701,262 shares of the Company's common stock at a purchase price of $0.0713 per share and was issued a warrant to acquire up to 701,262 shares of the Company's common stock (as reported in this Form 4) for no additional consideration.
On March 14, 2013, Mr. Wallberg purchased 100,000 shares of the Company's common stock at a purchase price of $0.40 per share with the purchase taking place at four closings over a twelve month period and was issued a warrant to acquire up to 60,000 shares of the Company's common stock (as reported in this Form 4) for no additional consideration.
This employee stock option will become exercisable with respect to 40,000 shares of the Company's common stock over a three year period.
This employee stock option became exercisable with respect to 52,500 shares of the Company's common stock on September 25, 2014 and will become exercisable with respect to an additional 37,500 shares of the Company's common stock over an eighteen month period.
This employee stock option became fully vested on February 12, 2012.
This employee stock option became fully vested on December 6, 2010.
/s/Terrance K. Wallberg
2016-03-31