| 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)
| 2. Date of Event Requiring Statement (Month/Day/Year) 04/27/2020 | 3. Issuer Name and Ticker or Trading Symbol ChromaDex Corp. [ CDXC ] | |||||||||||||
| 4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
| 5. If Amendment, Date of Original Filed (Month/Day/Year) | ||||||||||||||
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) |
| Common Stock | 6,377,783(1) | I | See Footnote(1) |
| 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 | ||||
1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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1. Name and Address of Reporting Person*
(Street)
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| Explanation of Responses: |
| 1. Of the reported shares (i) 5,957,783 shares of the Issuer's common stock are held directly by Pioneer Step Holdings Limited ("Pioneer Step") and (ii) 420,000 shares of the Issuer's common stock are held directly by Dvorak International Limited ("Dvorak International"). Chau Hoi Shuen Solina Holly ("Solina Chau") is the sole shareholder of each of Pioneer Step and Dvorak International and as such, Solina Chau may be deemed to beneficially own the shares of the Issuer's common stock directly held by Pioneer Step and Dvorak International. Solina Chau disclaims Section 16 beneficial ownership of the securities held by each of Pioneer Step and Dvorak International, except to the extent of her pecuniary interest therein, if any. |
| Remarks: |
| Exhibit 24 Power of Attorney (incorporated by reference to Exhibit 24 to Schedule 13D/A filed by Pioneer Step Holdings Limited with the SEC on April 29, 2020). Exhibit 99.1 Joint Filer Information |
| Chau Hoi Shuen Solina Holly, By: /s/ Ng Ngar Bun Raymond, Attorney-in-Fact | 05/06/2020 | |
| Pioneer Step Holdings Limited, By: /s/ Ng Ngar Bun Raymond, Attorney-in-Fact | 05/06/2020 | |
| Dvorak International Limited, By: /s/ Ng Ngar Bun Raymond, Attorney-in-Fact | 05/06/2020 | |
| ** 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. | ||
