SEC Form 4
FORM 4 | UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
| |||||||||||||||
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
| 2. Issuer Name and Ticker or Trading Symbol ChromaDex Corp. [ CDXC ] | 5. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| ||||||||||||||||||||||||
3. Date of Earliest Transaction (Month/Day/Year) 04/17/2020 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line)
|
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
---|---|---|---|---|---|---|---|---|---|---|
1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 04/17/2020 | G(1) | 500,000 | D | $0 | 882,561(2)(3) | D | |||
Common Stock | 250,000(1) | I | By US Trust Co. of Delaware Trustee of The Benjamin A Fried 2020 Irrevocable Trust dated 02/26/2020 | |||||||
Common Stock | 250,000(1) | I | By US Trust Co. of Delaware Trustee of The Jeremy W Fried 2020 Irrevocable Trust dated 02/26/2020 | |||||||
Common Stock | 53,001(2) | I | By Fried-Travis Revocable Trust U/A Dated 06/02/1999 | |||||||
Common Stock | 9,753(3) | I | By Fried Films Profit Sharing | |||||||
Common Stock | 12,746 | I | See Footnote(4) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. On April 17, 2020, the Reporting Person transferred an aggregate of 500,000 shares to trusts established for the benefit of his children as follows: 250,000 shares to US Trust Company of Delaware Trustee of The Benjamin A Fried 2020 Irrevocable Trust dated 02/26/2020 and 250,000 shares to US Trust Company of Delaware Trustee of The Jeremy W Fried 2020 Irrevocable Trust dated 02/26/2020. |
2. 1,000 shares held by the Reporting Person were inadvertently reported on a prior Form 4 filing as held directly. Instead, the shares are held by the Reporting Person indirectly in the name of the Fried-Travis Revocable Trust U/A Dated 06/02/1999. |
3. 9,753 shares held by the Reporting Person were inadvertently reported on prior Form 4 filings as held directly. Instead, the shares are held by the Reporting Person indirectly in the name of Fried Films Profit Sharing. |
4. 6,745 shares held by Jeremy Fried and 6,001 shares held by Benjamin Fried, who are sons of Robert Fried. |
/s/ Jeong James Lee, Attorney-in-Fact | 04/01/2021 | |
** 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 4 (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. |