-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, Nmi5I37s00+H5JiRVNXumt5fV26FDjhhvkmE9fYFyCCJ+FqVJ46QElEQ1wv5SsFU +MoRBZYobv/eel+5KdGDtg== 0001181431-10-056419.txt : 20101117 0001181431-10-056419.hdr.sgml : 20101117 20101117204942 ACCESSION NUMBER: 0001181431-10-056419 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101115 FILED AS OF DATE: 20101117 DATE AS OF CHANGE: 20101117 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Spengler William CENTRAL INDEX KEY: 0001297399 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-53290 FILM NUMBER: 101201064 MAIL ADDRESS: STREET 1: C?O GUILFORD PHARMACEUTICALS INC STREET 2: 6611 TRIBUTARY STREET CITY: BALTIMORE STATE: MD ZIP: 21224 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ChromaDex Corp. CENTRAL INDEX KEY: 0001386570 STANDARD INDUSTRIAL CLASSIFICATION: MEDICINAL CHEMICALS & BOTANICAL PRODUCTS [2833] IRS NUMBER: 205339393 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10005 MUIRLANDS BLVD. STREET 2: STE. G, FIRST FLOOR CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 949-419-0288 MAIL ADDRESS: STREET 1: 10005 MUIRLANDS BLVD. STREET 2: STE. G, FIRST FLOOR CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: CODY RESOURCES, INC. DATE OF NAME CHANGE: 20070112 4 1 rrd291275.xml X0303 4 2010-11-15 0 0001386570 ChromaDex Corp. CDXC.OB 0001297399 Spengler William 10005 MUIRLANDS SUITE G IRVINE CA 92618 0 1 0 0 President Common Stock 2010-11-15 4 A 0 1000000 0.00 A 1000000 D Employee Stock Options (right to buy) 1.65 2010-11-15 4 A 0 58823 0 A 2011-11-15 2020-11-15 Common Stock 58823 58823 D Employee Stock Options (right to buy) 1.65 2010-11-15 4 A 0 1000000 0 A 2020-11-15 Common Stock 1000000 1000000 D Employee Stock Options (right to buy) 1.65 2010-11-15 4 A 0 941177 0 A 2011-11-15 2020-11-15 Common Stock 941177 941177 D Sale of restricted common stock ("Restricted Stock") of Issuer in accordance with Issuer's Second Amended and Restated 2007 Equity Incentive Plan ("2007 Equity Incentive Plan") pursuant to a Restricted Stock Agreement between Issuer and the Reporting Person. The purchase price per share is the par value ($0.001 per share) of the Restricted Stock payable in cash. The Restricted Stock vests in full on November 15, 2013 (the "Vesting Date"), provided that the Reporting Person is continuously emplyed by Issuer from November 15, 2010 (the "Effective Date") through the Vesting Date and the per share fair market value of the Issuer's common stock at any time prior to the Vesting Date shall have increased by at least three-times $1.65. The Restricted Stock is subject to further terms as set forth in the Employment Agreement, dated October 27, 2010 (the "Employment Agreement"). Grant of "incentive stock option" pursuant to Issuer's 2007 Equity Incentive Plan. Options vest 25% on the first anniversary after the Effective Date and the remaining 75% vest in 36 equal installments commencing on the last day of the month following the month in which the first anniversary of the Effective Date occurs. Grant of "nonqualified stock option" pursuant to Issuer's 2007 Equity Incentive Plan. The options shall vest based on the achievement of certain milestones established by the Issuer's Compensation Committee as provided in the Employment Agreement. /s/ William Spengler 2010-11-17 -----END PRIVACY-ENHANCED MESSAGE-----