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