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SC 13G/A Filing
ChromaDex (CDXC) SC 13G/AChromaDex Corp.
Filed: 8 Feb 16, 12:00am
CUSIP No. 171077100 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Barry Honig |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 5,037,059(1) |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 3,780,773(2)(3) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 5,037,059(1) |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 3,780,773(2)(3) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,817,832(1)(2)(3) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.1% (Based on 109,114,247 shares outstanding as of November 11, 2015) |
12 | TYPE OF REPORTING PERSON* IN |
(1) | Includes 4,832,059 shares of common stock and options to purchase up to 205,000 shares of common stock exercisable within 60 days. |
(2) | Includes (i) 89,900 shares of common stock held by GRQ Consultants, Inc. (“GRQ”), (ii) 230,000 shares of common stock held by GRQ Consultants, Inc. Defined Benefit Plan (the “Plan”), (iii) 943,966 shares of common stock held by GRQ Consultants, Inc. 401K (“401K”), (iv) 413,336 shares of common stock held by GRQ Consultants, Inc. Roth 401K FBO Barry Honig (“Roth 401K”) and (v) 2,103,571 shares of common stock held by GRQ Consultants, Inc. Roth 401K FBO Renee Honig (“Renee 401K”). Mr. Honig is the President of GRQ and trustee of the Plan, 401K and Roth 401K and in such capacities holds voting and dispositive power over the securities held by such entities. Renee Honig, Mr. Honig’s spouse, is trustee of the Renee 401K. |
(3) | Excludes (i) 206,664 shares of common stock underlying warrants held by 401K and (ii) 206,668 shares of common stock underlying warrants held by Roth 401K, both of which contain a 4.99% beneficial ownership blocker. |
CUSIP No. 171077100 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GRQ Consultants, Inc. |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 89,900(1) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 89,900(1) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 89,900(1) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% (Based on 109,114,247 shares outstanding as of November 11, 2015) |
12 | TYPE OF REPORTING PERSON* CO |
(1) | Mr. Honig is the President of GRQ and in such capacity holds voting and dispositive power over the securities held by GRQ. |
CUSIP No. 171077100 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GRQ Consultants, Inc. Defined Benefit Plan |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 230,000(1) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 230,000(1) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 230,000(1) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.2% (Based on 109,114,247 shares outstanding as of November 11, 2015) |
12 | TYPE OF REPORTING PERSON* OO |
(1) | Mr. Honig is the trustee of the Plan and in such capacity holds voting and dispositive power over the securities held by the Plan. |
CUSIP No. 171077100 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GRQ Consultants, Inc. 401K |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 943,966(1) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 943,966 (1) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 943,966 (1) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.9% (Based on 109,114,247 shares outstanding as of November 11, 2015) |
12 | TYPE OF REPORTING PERSON* OO |
(1) | Mr. Honig is the trustee of 401K and in such capacity holds voting and dispositive power over the securities held by 401K. |
CUSIP No. 171077100 |
1 | NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) GRQ Consultants, Inc. Roth 401K FBO Barry Honig |
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) ¨ (b) ¨ |
3 | SEC USE ONLY |
4 | CITIZENSHIP OR PLACE OF ORGANIZATION Florida |
NUMBER OF SHARES | 5 | SOLE VOTING POWER 0 |
BENEFICIALLY OWNED BY | 6 | SHARED VOTING POWER 413,336(1) |
EACH REPORTING | 7 | SOLE DISPOSITIVE POWER 0 |
PERSON WITH | 8 | SHARED DISPOSITIVE POWER 413,336(1) |
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 413,336(1) |
10 | CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) |
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.4% (Based on 109,114,247 shares outstanding as of November 11, 2015) |
12 | TYPE OF REPORTING PERSON* OO |
(1) | Mr. Honig is the trustee of Roth 401K and in such capacity holds voting and dispositive power over the securities held by Roth 401K. |
(1) | Includes 4,832,059 shares of common stock and options to purchase up to 205,000 shares of common stock exercisable within 60 days. |
(2) | Includes (i) 89,900 shares of common stock held by GRQ, (ii) 230,000 shares of common stock held by the Plan, (iii) 943,966 shares of common stock held by 401K, (iv) 413,336 shares of common stock held by Roth 401K and (v) 2,103,571 shares of common stock held by GRQ Consultants, Inc. Roth 401K FBO Renee Honig (“Renee 401K”). Mr. Honig is the President of GRQ and trustee of the Plan, 401K and Roth 401K and in such capacities holds voting and dispositive power over the securities held by such entities. Renee Honig, Mr. Honig’s spouse, is trustee of the Renee 401K. |
(3) | Excludes (i) 206,664 shares of common stock underlying warrants held by 401K and (ii) 206,668 shares of common stock underlying warrants held by Roth 401K, both of which contain a 4.99% beneficial ownership blocker. |
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig | |||
GRQ Consultants, Inc. | |||
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig, President | |||
GRQ Consultants, Inc. Defined Benefit Plan | |||
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig, Trustee | |||
GRQ Consultants, Inc. 401K | |||
Date: February 8, 2016 | By: | /s/ Barry Honig | |
Barry Honig, Trustee |
GRQ Consultants, Inc. Roth 401K FBO Barry Honig | ||
Date: February 8, 2016 | By: | /s/ Barry Honig |
Barry Honig, Trustee | ||