SEC Form 3 filed by new insider Lee Jeong James
$CDXC
Medicinal Chemicals and Botanical Products
Health Care
| FORM 3 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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1. Name and Address of Reporting Person*
(Street)
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2. Date of Event Requiring Statement
(Month/Day/Year) 07/16/2024 |
3. Issuer Name and Ticker or Trading Symbol
ChromaDex Corp. [ CDXC ] |
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4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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5. If Amendment, Date of Original Filed
(Month/Day/Year) |
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6. Individual or Joint/Group Filing (Check Applicable Line)
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| Table I - Non-Derivative Securities Beneficially Owned | |||
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| 1. Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||
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| 1. Title of Derivative Security (Instr. 4) | 2. Date Exercisable and Expiration Date (Month/Day/Year) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) | ||
| Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
| Employee Stock Options (right to buy) | 07/06/2016(1) | 07/05/2025 | Common Stock | 8,334 | $3.66 | D | |
| Employee Stock Options (right to buy) | 07/14/2017(2) | 08/14/2026 | Common Stock | 17,000 | $4.04 | D | |
| Employee Stock Options (right to buy) | 09/29/2018(3) | 10/23/2027 | Common Stock | 50,000 | $3.97 | D | |
| Employee Stock Options (right to buy) | 02/21/2020(4) | 02/20/2029 | Common Stock | 32,386 | $3.84 | D | |
| Employee Stock Options (right to buy) | 02/25/2021(5) | 02/24/2030 | Common Stock | 30,800 | $3.27 | D | |
| Employee Stock Options (right to buy) | 03/15/2022(6) | 03/14/2031 | Common Stock | 11,000 | $11.83 | D | |
| Employee Stock Options (right to buy) | 02/17/2023(7) | 02/16/2032 | Common Stock | 42,219 | $2.67 | D | |
| Employee Stock Options (right to buy) | 02/15/2024(8) | 02/14/2033 | Common Stock | 58,097 | $1.82 | D | |
| Employee Stock Options (right to buy) | 02/22/2025(9) | 02/21/2034 | Common Stock | 82,734 | $1.52 | D | |
| Explanation of Responses: |
| 1. One-fourth of the shares subject to the option vested on July 6, 2016 and the remaining shares subject to the option have vested in a series of 36 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 2. One-fourth of the shares subject to the option vested on July 14, 2017 and the remaining shares subject to the option have vested in a series of 36 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 3. One-third of the shares subject to the option vested on September 29, 2018 and the remaining shares subject to the option have vested in a series of 24 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 4. One-third of the shares subject to the option vested on February 21, 2020 and the remaining shares subject to the option have vested in a series of 24 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 5. One-third of the shares subject to the option vested on February 25, 2021 and the remaining shares subject to the option have vested in a series of 24 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 6. One-third of the shares subject to the option vested on March 15, 2022 and the remaining shares subject to the option have vested in a series of 24 equal monthly installments thereafter. The stock options are fully vested as of July 16, 2024. |
| 7. One-third of the shares subject to the option vested on February 17, 2023 and the remaining shares subject to the option are vesting in a series of 24 equal monthly installments thereafter. |
| 8. One-third of the shares subject to the option vested on February 15, 2024 and the remaining shares subject to the option are vesting in a series of 24 equal monthly installments thereafter. |
| 9. One-third of the shares subject to the option shall vest on February 22, 2025 and the remaining shares subject to the option shall vest in a series of 24 equal monthly installments thereafter. |
| Remarks: |
| /s/ Jeong James Lee | 07/26/2024 | |
| ** Signature of Reporting Person | Date | |
| Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
| * If the form is filed by more than one reporting person, see Instruction 5 (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). | ||
| Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
| 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 Number. | ||