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SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to WaferGen Bio-Systems, Inc.
SEC Filings (Chronological Order)
På denne siden finner du en fullstendig, kronologisk liste over SEC-arkiveringer, med unntak av eierskaps-arkiveringer som vi leverer andre steder.
| March 13, 2017 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g ) OF THE SECURITIES EXCHANGE ACT OF 1934 OF SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-53252 WAFERGEN BIO-SYSTEMS, INC. (Exact name of registrant as |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
S-8 POS 1 posamstos8s.htm S-8 POS As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. 333-200684 Registration No. 333-200684 Registration No. 333-196534 Registration No. 333-180287 Registration No. 333-170029 Registration No. 333-164558 Registration No. 333-152597 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 POST-EFFECTIVE AME |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 13, 2017 |
S-8 POS 1 posamstos8s.htm S-8 POS As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. 333-200684 Registration No. 333-200684 Registration No. 333-196534 Registration No. 333-180287 Registration No. 333-170029 Registration No. 333-164558 Registration No. 333-152597 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 POST-EFFECTIVE AME |
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| March 13, 2017 |
Document As filed with the Securities and Exchange Commission on March 13, 2017 Registration No. |
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| March 1, 2017 |
Certificate to Accompany Restated Articles or Amended and Restated Articles (PURSUANT TO NRS) Exhibit Exhibit 3.1 BARBARA K. CEGAVSKE Secretary of State 202 North Carson Street Carson City, Nevada 89701-4201 (775) 684-5708 Website: www.nvsos.gov Certificate to Accompany Restated Articles or Amended and Restated Articles (PURSUANT TO NRS) USE BLACK INK ONLY - DO NOT HIGHLIGHT ABOVE SPACE IS FOR OFFICE USE ONLY This Form is to Accompany Restated Articles or Amended and Restated Articles of I |
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| March 1, 2017 |
WaferGen Bio-Systems 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 28, 2017 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| March 1, 2017 |
BYLAWS WAFERGEN BIO-SYSTEMS, INC. ARTICLE I Exhibit Exhibit 3.2 BYLAWS OF WAFERGEN BIO-SYSTEMS, INC. ARTICLE I IDENTIFICATION Section 1.01. Name . The name of the corporation is WaferGen Bio-systems, Inc. (the ? Corporation ?). Section 1.02. Registered Office and Registered Agent . The address of the initial registered office of the Corporation is 300 South Fourth Street, Suite 1400, Las Vegas, Nevada 89101, and the name of the initial regi |
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| February 23, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Amendment No. 2 WaferGen Bio-systems Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 93041P308 (CUSIP Number) Opaleye Management Inc., One Boston Place, Suite 2600, Boston, MA 02108, 617-229-5085 (Name, Address and Telephone Number of Pe |
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| February 15, 2017 |
EX-99.1 2 fy2016revenuereleasefinal.htm EXHIBIT 99.1 Exhibit 99.1 WaferGen Bio-systems Reports Revenue Growth in Fourth Quarter of 2016 Preliminary fourth quarter 2016 revenue results represent 62% increase vs. 2015 Fremont, Calif., February 15, 2017 – WaferGen Bio-systems, Inc. (NasdaqCM: WGBS) today announced preliminary, unaudited revenue for the fourth quarter and full year of 2016. The Compan |
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| February 15, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkfor2016revenue.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 15, 2017 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or othe |
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| November 28, 2016 |
WaferGen Bio-systems Announces 1-for-5 Reverse Stock Split Exhibit Exhibit 99.1 WaferGen Bio-systems Announces 1-for-5 Reverse Stock Split FREMONT, California ? November 28, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a publicly held genomics technology company, announced today that a 1-for-5 reverse stock split of its outstanding common stock will be effective at 4:01 p.m. Pacific Time on November 28, 2016. The reverse stock split is intended to in |
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| November 28, 2016 |
Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations Exhibit Exhibit 3.1 Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations 1. Name of Corporation: WaferGen Bio-systems, Inc. 2. The Amended and Restated Articles of Incorporation (the ? Articles ?) have been amended as follows: Article FOURTH is hereby amended by adding the following paragraph immediately after the second paragraph of Article Fourth: Upon the effecti |
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| November 28, 2016 |
8-K 1 wgbs-form8krevsplit2016.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 22, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other j |
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| November 15, 2016 |
Submission of Matters to a Vote of Security Holders Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 15, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| November 15, 2016 |
WaferGen Bio-systems Announces Stockholder Approval of Merger with Takara Bio Exhibit Exhibit 99.1 WaferGen Bio-systems Announces Stockholder Approval of Merger with Takara Bio FREMONT, Calif., November 15, 2016 /PRNewswire/ - WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a publicly held genomics technology company (?WaferGen?), today announced that its stockholders have approved the adoption of the previously announced merger agreement by and among WaferGen, Takara Bio USA Ho |
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| November 10, 2016 |
WaferGen Bio-Systems 10-Q (Quarterly Report) Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| November 8, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for Third Quarter 2016 Year-to-Date Revenues Represent 44% Growth over First Nine Months of 2015 FREMONT, California ? November 8, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercializing technology platforms for genomic solutions, announced today its financial results for the third |
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| November 8, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 8, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| November 8, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for Third Quarter 2016 Year-to-Date Revenues Represent 44% Growth over First Nine Months of 2015 FREMONT, California ? November 8, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercializing technology platforms for genomic solutions, announced today its financial results for the third |
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| November 8, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkfor2016q3er.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 8, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other ju |
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| October 31, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 31, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| October 31, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Strong Revenue Growth in Third Quarter of 2016 Preliminary revenue results represent 42% increase through third quarter 2016 vs. 2015 Third Quarter 2016 Financial Results to be Announced on Tuesday, November 8 Fremont, Calif., October 31, 2016 ? WaferGen Bio-systems, Inc. (NasdaqCM: WGBS), a life sciences company focused on developing and commercia |
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| October 31, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Strong Revenue Growth in Third Quarter of 2016 Preliminary revenue results represent 42% increase through third quarter 2016 vs. 2015 Third Quarter 2016 Financial Results to be Announced on Tuesday, November 8 Fremont, Calif., October 31, 2016 ? WaferGen Bio-systems, Inc. (NasdaqCM: WGBS), a life sciences company focused on developing and commercia |
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| October 31, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 a8k2016q3revenueer.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 31, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdi |
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| October 28, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 28, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| October 28, 2016 |
Exhibit Exhibit 99.1 URGENT: FOR VOTE REQUIRED Dear Fellow WaferGen Stockholder: I am writing to you with a very important update and asking you to take immediate action to vote to preserve the value of your WaferGen Bio-systems, Inc. (?WaferGen?) investment. If you vote ?FOR? the proposed merger agreement with Takara Bio USA Holdings, Inc. (?Takara Bio?), you have the chance to receive cash consi |
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| October 28, 2016 |
Results of Operations and Financial Condition 8-K 1 wgbs-form8xkshletterfinal.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 28, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other |
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| October 28, 2016 |
Exhibit Exhibit 99.1 URGENT: FOR VOTE REQUIRED Dear Fellow WaferGen Stockholder: I am writing to you with a very important update and asking you to take immediate action to vote to preserve the value of your WaferGen Bio-systems, Inc. (?WaferGen?) investment. If you vote ?FOR? the proposed merger agreement with Takara Bio USA Holdings, Inc. (?Takara Bio?), you have the chance to receive cash consi |
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| October 27, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 26, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| October 27, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Announces Adjournment of Special Meeting of Stockholders Stockholders are urged to vote ?FOR? the proposed merger at or prior to the rescheduled special meeting on November 15, 2016 FREMONT, Calif., October 26, 2016 /PRNewswire/ - WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a publicly held genomics technology company (?WaferGen?), today announced that the s |
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| October 27, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Announces Adjournment of Special Meeting of Stockholders Stockholders are urged to vote ?FOR? the proposed merger at or prior to the rescheduled special meeting on November 15, 2016 FREMONT, Calif., October 26, 2016 /PRNewswire/ - WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a publicly held genomics technology company (?WaferGen?), today announced that the s |
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| October 27, 2016 |
Other Events, Submission of Matters to a Vote of Security Holders Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 26, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| October 18, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION REQUIRED IN PROXY STATEMENT Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant x Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permit |
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| September 15, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? D |
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| September 13, 2016 |
Document K&L GATES LLP HEARST TOWER, 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T +1 704 331 7400 F +1 704 331 7598 klgates. |
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| August 30, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o D |
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| August 29, 2016 |
Document K&L GATES LLP HEARST TOWER, 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T +1 704 331 7400 F +1 704 331 7598 klgates. |
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| August 29, 2016 |
Document K&L GATES LLP HEARST TOWER, 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T +1 704 331 7400 F +1 704 331 7598 klgates. |
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| August 11, 2016 |
WaferGen Bio-Systems 10-Q (Quarterly Report) Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| August 9, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for Second Quarter 2016 Second Quarter Revenues Represent 56% Growth over Second Quarter of 2015 and 30% Growth over First Quarter of 2016 FREMONT, California ? August 9, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercializing technology platforms for genomic solutions, announced t |
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| August 9, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (C |
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| August 9, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for Second Quarter 2016 Second Quarter Revenues Represent 56% Growth over Second Quarter of 2015 and 30% Growth over First Quarter of 2016 FREMONT, California ? August 9, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercializing technology platforms for genomic solutions, announced t |
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| August 9, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for Second Quarter 2016 Second Quarter Revenues Represent 56% Growth over Second Quarter of 2015 and 30% Growth over First Quarter of 2016 FREMONT, California ? August 9, 2016 ? WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercializing technology platforms for genomic solutions, announced t |
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| August 9, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkfor2016q2er.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other juri |
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| August 9, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkfor2016q2er.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 9, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other juri |
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| August 4, 2016 |
Document K&L GATES LLP HEARST TOWER, 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T +1 704 331 7400 F +1 704 331 7598 klgates. |
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| July 11, 2016 |
Document K&L GATES LLP HEARST TOWER, 47TH FLOOR 214 NORTH TRYON STREET CHARLOTTE, NC 28202 T +1 704 331 7400 F +1 704 331 7598 klgates. |
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| June 10, 2016 |
Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: ? Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o D |
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| May 26, 2016 |
Document As filed with the Securities and Exchange Commission on May 26, 2016 Registration No. |
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| May 26, 2016 |
WaferGen Bio-Systems 8-K (Current Report/Significant Event) Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 25, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Com |
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| May 18, 2016 |
SEC Document Filed by WaferGen Bio-systems, Inc. Pursuant to Rule 14a-12 of the Securities Exchange Act of 1934, as amended Subject Company: WaferGen Bio-systems, Inc. Commission File No.: 001-36601 TAKARA BIO MERGER FREQUENTLY ASKED QUESTIONS May 18, 2016 On May 13, 2016, WaferGen Bio-systems, Inc. (“WaferGen”) and Takara Bio USA Holdings, Inc. (“Takara Bio”) announced that the companies have ent |
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| May 13, 2016 |
SEC Exhibit Exhibit 2.1 AGREEMENT AND PLAN OF MERGER Among TAKARA BIO USA HOLDINGS, INC., WALRUS ACQUISITION CORPORATION, WAFERGEN BIO-SYSTEMS, INC. and Solely for the purposes of Section 9.1 , TAKARA BIO USA, INC. Dated as of May 12, 2016 TABLE OF CONTENTS Page 1. Definitions 2 1.1 Definitions 2 2. The Merger 14 2.1 The Merger 14 2.2 Effective Time; Closing 14 2.3 Effect of the Merger 14 2.4 Arti |
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| May 13, 2016 |
SEC Exhibit Exhibit 10.1 DEPOSIT AGREEMENT THIS DEPOSIT AGREEMENT (this ? Agreement ?) is made and entered into as of May 12, 2016 (the ? Effective Date ?) by and between Takara Bio USA Holdings, Inc., a Delaware corporation (? Parent ?), and WaferGen Bio-systems, Inc., a Nevada corporation (the ? Company ?). RECITALS WHEREAS, Parent, the Company and Walrus Acquisition Corporation, a Nevada corpor |
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| May 13, 2016 |
SECOND AMENDMENT OF EXECUTIVE EMPLOYMENT AGREEMENT SEC Exhibit Exhibit 10.2 SECOND AMENDMENT OF EXECUTIVE EMPLOYMENT AGREEMENT THIS SECOND AMENDMENT OF EXECUTIVE EMPLOYMENT AGREEMENT (? Amendment ?) is made by and between WaferGen Bio-systems, Inc. (the ? Company ?) and Ivan Trifunovich (? Executive ,? and together with the Company, the ? Parties ?). WHEREAS , Executive and the Company are parties to that certain Executive Employment Agreement, da |
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| May 13, 2016 |
SEC Exhibit Exhibit 99.1 WaferGen Bio-systems and Takara Bio Inc. Announce Merger Agreement Transaction scheduled to close following completion of the 2016 fiscal year FREMONT, Calif. and MOUNTAIN VIEW, CA, May 13, 2016 /PRNewswire/ - WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a publicly held genomics technology company (?WaferGen?), and Takara Bio USA Holdings, Inc. (?TBUSH?), today announced tha |
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| May 13, 2016 |
SEC Document UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 12, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| May 12, 2016 |
WaferGen Bio-systems 10-Q (Quarterly Report) SEC Document Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D. |
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| May 10, 2016 |
Exhibit Exhibit 99.1 WaferGen Bio-systems Reports Results for First Quarter 2016 First Quarter Revenues Represent 68% Growth over First Quarter 2015 Company Reiterates Full-Year 2016 Revenue Guidance That Reflects 67% to 81% Growth over Full-Year 2015 Revenues FREMONT, California – May 10, 2016 – WaferGen Bio-systems, Inc. (NASDAQ: WGBS), a life sciences company focused on developing and commercia |
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| May 10, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkfor2016q1er.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 10, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisd |
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| April 19, 2016 |
As filed with the Securities and Exchange Commission on April 19, 2016 Registration No. |
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| April 12, 2016 |
PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? De |
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| April 1, 2016 |
PRE 14A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o De |
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| March 25, 2016 |
WaferGen Bio-systems 10-K (Annual Report) 10-K 1 wgbs-12312015x10k.htm 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission fil |
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| March 25, 2016 |
EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction Wafergen, Inc. Delaware WaferGen Biosystems Europe S.a.r.l. Luxembourg |
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| March 25, 2016 |
WAFERGEN BIO-SYSTEMS, INC. 2008 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD EXHIBIT 10.2 WAFERGEN BIO-SYSTEMS, INC. 2008 STOCK INCENTIVE PLAN NOTICE OF RESTRICTED STOCK UNIT AWARD Grantee’s Name: You (the “Grantee”) have been granted an award of Restricted Stock Units (the “Award”), subject to the terms and conditions of this Notice of Restricted Stock Unit Award (the “Notice”), the WaferGen Bio-systems, Inc. 2008 Stock Incentive Plan, as amended from time to time (the “P |
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| March 25, 2016 |
WAFERGEN BIO-SYSTEMS, INC. 2008 STOCK INCENTIVE PLAN NOTICE OF STOCK OPTION AWARD EXHIBIT 10.3 WAFERGEN BIO-SYSTEMS, INC. 2008 STOCK INCENTIVE PLAN NOTICE OF STOCK OPTION AWARD Grantee’s Name: You (the “Grantee”) have been granted an option to purchase Shares (the “Option”), subject to the terms and conditions of this Notice of Stock Option Award (the “Notice”), the WaferGen Bio-systems, Inc. 2008 Stock Incentive Plan, as amended from time to time (the “Plan”) and the Stock Opt |
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| March 9, 2016 |
Exhibit Exhibit 10.1 BUILDING: Ardenwood I-4 PROPERTY: 1-0514 UNIT: 1 LEASE ID: 0514-WAFE01-01 LEASE AGREEMENT THIS ?LEASE?, made this 10th day of February, 2016, between JOHN ARRILLAGA, Trustee, or his Successor Trustee, UTA dated 7/20/77 (JOHN ARRILLAGA SURVIVOR?S TRUST) as amended, and RICHARD T. PEERY, Trustee, or his Successor Trustee, UTA dated 7/20/77 (RICHARD T. PEERY SEPARATE PROPERTY TRU |
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| March 9, 2016 |
WaferGen Bio-systems 8-K (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 7, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| March 8, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 wgbs-form8xkx2015q4andfyxer.htm 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 8, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other j |
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| March 8, 2016 |
EX-99.1 2 wgbspr15q4-exh991.htm EXHIBIT 99.1 Exhibit 99.1 WaferGen Bio-systems Reports Results for Fourth Quarter and Fiscal Year 2015 Company Reports Record Quarterly Revenues of $2.4 Million that Include Initial Two ICELL8™ Single-Cell System Sales Fourth Quarter Revenues Represent 20% Growth over Third Quarter 2015 and 49% over Fourth Quarter 2014 Full-Year 2016 Revenue Guidance Reflects 67% to |
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| February 16, 2016 |
WaferGen Bio-Systems 8-K LEASE END (Current Report/Significant Event) 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 11, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Com |
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| February 16, 2016 |
WGBS / WaferGen Bio-Systems, Inc. / RA Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* WAFERGEN BIO-SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 93041P308 (CUSIP Number) December 31, 2015 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 16, 2016 |
WGBS / WaferGen Bio-Systems, Inc. / Flynn James E Passive Investment SC 13G/A 1 e614611sc13ga-wafergen.htm SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 4) * WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 93041P308 (CUSIP Number) Dece |
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| February 16, 2016 |
WGBS / WaferGen Bio-Systems, Inc. / MANCHESTER MANAGEMENT CO LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 12, 2016 |
WGBS / WaferGen Bio-Systems, Inc. / CVI Investments, Inc. - SC 13G/A Passive Investment SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. 1)* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 93041P308 (CUSIP Number) December 31, |
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| January 28, 2016 |
Exhibit EXHIBIT 99.1 WaferGen Bio-systems Announces 50 Percent Year-Over-Year Growth in Fourth Quarter 2015 Revenues Fourth Quarter Revenues Include Initial Two ICELL8? Single-Cell System Sales and Represents 15-25% Growth Over Third Quarter 2015 Revenues Company Provides Full-Year 2016 Revenue Guidance; Expecting 70 Percent Growth Over Full-Year 2015 Revenues FREMONT, California, January 28, 2016 |
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| January 28, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 28, 2016 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commissi |
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| January 19, 2016 |
SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 93041P308 (CUSIP Number) December 31, 2015 (Date of event which requires filing of this statement) Check the appropriate box to designate the rule pursuant to whi |
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| December 28, 2015 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 21, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| November 12, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 wgbsq31510q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period f |
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| November 12, 2015 |
EXHIBIT 4.2 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this ?Warrant Agreement?), dated as of October 21, 2015, is entered into by and between WaferGen Bio-systems, Inc., a Delaware corporation (the ?Company?), and Continental Stock Transfer & Trust Company, a New York corporation (the ?Warrant Agent?). WHEREAS, the Company is engaged in a public offering (the ?Offering?) of (i) Class A Units (the |
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| November 12, 2015 |
COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. EXHIBIT 4.1 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGISTR |
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| November 12, 2015 |
EXHIBIT 3.1 AMENDED AND RESTATED ARTICLES OF INCORPORATION OF WAFERGEN BIO-SYSTEMS, INC. (Pursuant to Sections 78.385, 78.390 and 78.403 of the Nevada Revised Statutes) I, the undersigned President of WaferGen Bio-systems, Inc., do hereby certify that: 1. The Articles of Incorporation of WaferGen Bio-systems, Inc. are hereby amended and restated in their entirety, effective as of the date of filin |
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| November 10, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 10, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| November 10, 2015 |
EX-99.1 2 wgbs-3q15erexh991.htm EXHIBIT 99.1 15Q3ER EXHIBIT 99.1 WaferGen Bio-systems Reports Results for Third Quarter 2015 Company Reports Record Quarterly Revenues of $2.0 Million Commercial Launch of ICELL8™ Single Cell System Expected to Drive Further Revenue Growth Successful Completion of $17.25 Million Offering Supports ICELL8™ Commercialization FREMONT, California - November 10, 2015 – Wa |
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| October 23, 2015 |
WGBS / WaferGen Bio-Systems, Inc. / CVI Investments, Inc. - SC 13G Passive Investment CUSIP No. 93041P308 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2. (Amendment No. )* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock, $0.001 par value per share (Title of Class of Securities) 93041P308 (CUSIP Nu |
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| October 21, 2015 | ||
| October 21, 2015 |
SC 13G 1 p15-2047sc13g.htm EMPERY ASSET MANAGEMENT, LP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock, $0.001 par value (Title of Class of Securities) 93041P308 (CUSIP Number) October 16, 2015 (Date of event which requires filing of this statement) Check the |
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| October 21, 2015 |
form8k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 20, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation |
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| October 21, 2015 |
EX-3.1 2 ex3-1.htm EXHIBIT 3.1 Please refer to ex3-1.pdf |
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| October 19, 2015 |
form424b-4.htm Filed Pursuant to Rule 424(b)(4) Under the Securities Act of 1933 Registration No. 333-206397 Registration No. 333-207445 PROSPECTUS 392 Class A Units consisting of common stock and warrants and 1,108 Class B Units consisting of shares of Series 2 preferred stock and warrants (and 30,000,000 shares of common stock underlying shares of Series 2 preferred stock and warrants) WaferGen |
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| October 15, 2015 |
forms-1mef.htm As filed with the Securities and Exchange Commission on October 15, 2015 Registration No. 333-[●] UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 WAFERGEN BIO-SYSTEMS, INC. (Exact name of registrant as specified in its charter) Nevada 3826 90-0416683 (State or other jurisdiction of incorporation |
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| October 15, 2015 |
As filed with the Securities and Exchange Commission on October 15, 2015 Registration No. |
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| October 15, 2015 |
EXHIBIT 10.26 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this ?Warrant Agreement?), dated as of , 2015, is entered into by and between WaferGen Bio-systems, Inc., a Delaware corporation (the ?Company?), and Continental Stock Transfer & Trust Company, a New York corporation (the ?Warrant Agent?). WHEREAS, the Company is engaged in a public offering (the ?Offering?) of (i) Class A Units (the ?Class A |
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| October 15, 2015 |
accelrequest.htm October 15, 2015 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Mary Beth Breslin Re: WaferGen Bio-systems, Inc. Registration Statement on Form S-1 File No. 333-206397 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended (the ?Securities |
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| October 15, 2015 |
EX-3.5 2 ex3-5.htm FORM OF CERTIFICATE OF DESIGNATION OF THE SERIES 2 CONVERTIBLE PREFERRED STOCK EXHIBIT 3.5 WAFERGEN BIO-SYSTEMS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES 2 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 78.1955 OF THE NEVADA REVISED STATUTES WaferGen Bio-systems, Inc., a Nevada corporation (the “Corporation”), in accordance with the provi |
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| September 23, 2015 |
EXHIBIT 1.1 SHARES OF COMMON STOCK SHARES OF PREFERRED STOCK (CONVERTIBLE INTO SHARES OF COMMON STOCK) AND - WARRANTS (EXERCISABLE FOR SHARES OF COMMON STOCK) OF WAFERGEN BIO-SYSTEMS, INC. UNDERWRITING AGREEMENT , 2015 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 4400 Biscayne Blvd., 14th Floor Miami, Florida 33137 Ladies and G |
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| September 23, 2015 |
EX-10.26 7 ex10-26.htm FORM OF WARRANT AGREEMENT EXHIBIT 10.26 WARRANT AGREEMENT THIS WARRANT AGREEMENT (this “Warrant Agreement”), dated as of [l], 2015, is entered into by and between WaferGen Bio-systems, Inc., a Delaware corporation (the “Company”), and Continental Stock Transfer & Trust Company, a New York corporation (the “Warrant Agent”). WHEREAS, the Company is engaged in a public offering |
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| September 23, 2015 |
As filed with the Securities and Exchange Commission on September 23, 2015 As filed with the Securities and Exchange Commission on September 23, 2015 Registration No. |
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| September 23, 2015 |
COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. EX-4.11 4 ex4-11.htm FORM OF UNDERWRITER WARRANT EXHIBIT 4.11 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFER |
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| September 23, 2015 |
EXHIBIT 3.5 WAFERGEN BIO-SYSTEMS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES 2 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 78.1955 OF THE NEVADA REVISED STATUTES WaferGen Bio-systems, Inc., a Nevada corporation (the ?Corporation?), in accordance with the provisions of Section 78.1955 of the Nevada Revised Statutes does hereby certify that the following res |
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| August 14, 2015 |
As filed with the Securities and Exchange Commission on August 14, 2015 As filed with the Securities and Exchange Commission on August 14, 2015 Registration No. |
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| August 7, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 wgbsq21510q.htm 10-Q Table of Contents UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from t |
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| August 7, 2015 |
INDUCEMENT RESTRICTED STOCK UNIT AWARD AGREEMENT EX-10.4 3 wgbsex104.htm EXHIBIT 10.4 EXHIBIT 10.4 INDUCEMENT RESTRICTED STOCK UNIT AWARD AGREEMENT This Inducement Restricted Stock Unit Award Agreement (this “Agreement”) is entered into as of May 12, 2015 (the “Effective Date”), by and between WAFERGEN BIO-SYSTEMS, INC., a Nevada Corporation (the “Company”), and Rolland Carlson (“Grantee”). W I T N E S S E T H: WHEREAS, the Board of Directors of |
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| August 7, 2015 |
WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT EX-10.3 2 wgbsex103.htm EXHIBIT 10.3 EXHIBIT 10.3 WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is executed May 12, 2015, by and between WAFERGEN BIO-SYSTEMS, INC., a Delaware corporation (the “Company”), and Rolland Carlson (“Grantee”). W I T N E S S E T H: WHEREAS, the Company wishes to grant Grantee a Nonstatutory Stoc |
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| August 5, 2015 |
WaferGen Bio-Systems 8-K (Current Report/Significant Event) WGBS-8-KQ2FY15Earnings150805FINAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D. |
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| August 5, 2015 |
Exh991PR15Q2FINAL (1) EXHIBIT 99.1 WaferGen Bio-systems Reports Results for Second Quarter 2015 Company Continues to Advance Single Cell Analysis Technology According to Plan; Full Commercial Launch on Track for Fourth Quarter of 2015 Early Access Program for WaferGen’s Single Cell Analysis Technology Fully Enrolled; Initial Data Anticipated in Third Quarter FREMONT, California - August 5, 2015 – |
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| July 7, 2015 |
WaferGen Bio-Systems (Current Report/Significant Event) form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July1, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (C |
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| June 10, 2015 |
WaferGen Bio-Systems (Current Report/Significant Event) form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 10, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| May 14, 2015 |
EXHIBIT 3.1 Please refer to ex3-1.pdf |
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| May 14, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q 10-Q 1 q1form10-q.htm WGBS 2015 Q1 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2015 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Com |
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| May 14, 2015 | ||
| May 12, 2015 |
Unassociated Document POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of Ian Lamdin, Mark Busch, James Herriot and Patrick Rogers, signing singly, as the undersigned?s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned?s capacity as an officer and/or director of WaferGen Bio-systems, Inc. |
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| May 11, 2015 |
EXECUTIVE EMPLOYMENT AGREEMENT ex10-1.htm EXHIBIT 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the ?Agreement?), dated May 11, 2015 (the ?Effective Date?), is by and between WAFERGEN BIOSYSTEMS, INC. (the ?Company?) and ROLLAND CARLSON (?Executive?) (collectively, the ?parties?). A. POSITION AND RESPONSIBILITIES 1. Term. The initial term of this Agreement shall begin on the Effective Date and shall e |
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| May 11, 2015 |
WaferGen Bio-Systems Q1 EARNINGS (Current Report/Significant Event) form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) ( |
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| May 11, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 11, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission F |
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| May 11, 2015 |
ex99-1.htm EXHIBIT 99.1 WaferGen Bio-systems Reports Results for First Quarter 2015 Company Continues to Advance Single Cell Analysis Technology, Full Commercial Launch Expected by End of 2015 Early Access Program for WaferGen?s Single Cell Analysis Technology Initiated; Company Collaborating with Genentech, National Jewish Hospital and Karolinska Institutet Company Reiterates 2015 Revenue Guidanc |
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| May 11, 2015 |
WaferGen Bio-Systems AMENDED DEF 14A formdefa14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)( |
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| May 11, 2015 |
AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT ex_10-2.htm EXHIBIT 10.2 AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT THIS AMENDMENT TO EXECUTIVE EMPLOYMENT AGREEMENT (“Amendment”) is made as of May 11, 2015 (“Effective Date”), by and between WaferGen Bio-systems, Inc. (“Wafergen” or the “Company”) and Ivan Trifunovich (“Executive”). WHEREAS, Executive and the Company entered into that certain Executive Employment Agreement dated March 7, 2012 ( |
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| May 11, 2015 |
ex99-1.htm EXHIBIT 99.1 WaferGen Bio-systems Appoints Life Sciences Industry Veteran, Rolland D. Carlson, Ph.D., President & CEO Ivan Trifunovich, Ph.D., Appointed Executive Chairman of the Board New CEO to Lead WaferGen?s Commercial Efforts in Single Cell Analysis FREMONT, California, May 11, 2015 - WaferGen Bio-systems, Inc. (NASDAQ: WGBS) announced today that the Company has appointed Rolland D |
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| April 29, 2015 |
formdef14a.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant ? Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2 |
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| April 3, 2015 |
WaferGen Bio-Systems POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 ON FORM S-3 posam-1.htm As filed with the Securities and Exchange Commission on April 3, 2015 Registration No. 333-196328 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-1 ON FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 WAFERGEN BIO-SYSTEMS, INC. (Exact name of registrant as specified in its charter) Nevada 3826 90-0416683 (S |
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| March 17, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-53252 WaferGen Bio-s |
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| March 17, 2015 |
EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction Wafergen, Inc. Delaware WaferGen Biosystems Europe S.a.r.l. Luxembourg |
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| March 16, 2015 |
WaferGen Bio-Systems EARNINGS RELEASE Q4 2014 (Current Report/Significant Event) form8-k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 16, 2015 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| March 16, 2015 |
ex99-1.htm EXHIBIT 99.1 WaferGen Bio-systems Reports Results for Fourth Quarter and Fiscal Year 2014 Record Growth in 2014 Revenues, up 360 Percent over 2013 Significant Progress Achieved with Single Cell Analysis Technology, Full Commercial Launch Expected by End of 2015 Company Provides 2015 Revenue Guidance of $8.0 - $8.5 Million, Which Would Represent an Increase of 33% - 42% FREMONT, Californ |
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| February 17, 2015 |
WGBS / WaferGen Bio-Systems, Inc. / GREAT POINT PARTNERS LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 3)* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 93041P308 (CUSIP Number) December 31, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which |
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| February 17, 2015 |
EXHIBIT B JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other persons signatory below of a statement on Schedule 13G or any amendments thereto, with respect to the Common Stock of Wafergen Biosystems, Inc. |
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| February 17, 2015 |
SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No 3 )* Wafergen Bio-systems, Inc (Name of Issuer) Common Stock, Par Value $0.001 (Title of Class of Securities) 93041P100 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to whic |
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| February 17, 2015 |
WGBS / WaferGen Bio-Systems, Inc. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 17, 2015 |
WGBS / WaferGen Bio-Systems, Inc. / RA Capital Management, LLC - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* WAFERGEN BIO-SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 93041P308 (CUSIP Number) December 31, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate |
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| January 28, 2015 |
WGBS / WaferGen Bio-Systems, Inc. S-3 - - As Filed With the Securities and Exchange Commission on January 27, 2015 Registration No. |
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| January 28, 2015 |
Exhibit 4.15 INDENTURE between WaferGen Bio-systems, Inc. and [] TRUSTEE Dated as of [] Providing for Issuance of Debt Securities in Series Reconciliation and tie between Indenture, dated as of , and the Trust Indenture Act of 1939, as amended. Trust Indenture Act of 1939 Section Indenture Section 310(a)(1) 6.11 (a)(2) 6.11 (a)(3) TIA (a)(4) Not Applicable (a)(5) TIA (b) 6.9; 6.11; TIA 311(a) TIA |
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| January 22, 2015 |
WGBS / WaferGen Bio-Systems, Inc. / MANCHESTER MANAGEMENT CO LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| December 2, 2014 |
WGBS / WaferGen Bio-Systems, Inc. S-8 - - S-8 1 forms8-20141202.htm As filed with the Securities and Exchange Commission on December 2, 2014 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 WAFERGEN BIO-SYSTEMS, INC. (Exact name of registrant as specified in its charter) Nevada 90-0416683 (State or other jurisdiction of (I.R.S. Em |
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| November 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 17, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| November 18, 2014 |
AMENDED AND RESTATED BYLAWS WAFERGEN BIO-SYSTEMS, INC. ARTICLE I - CORPORATE OFFICES EXHIBIT 3.1 AMENDED AND RESTATED BYLAWS OF WAFERGEN BIO-SYSTEMS, INC. ARTICLE I - CORPORATE OFFICES 1.1 Registered Office. The registered office of this corporation (the “Company”) shall be in any county of the State of Nevada. 1.2 Other Offices. The Company’s board of directors (the “Board of Directors”) may at any time establish other offices at any place or places where the Company is qualified |
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| November 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-53252 Wafer |
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| November 12, 2014 |
WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT EXHIBIT 10.5 WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is executed August 27th, 2014, by and between WAFERGEN BIO-SYSTEMS, INC., a Delaware corporation (the “Company”), and Michael P. Henighan (“Employee”). W I T N E S S E T H: WHEREAS, the Compensation Committee of the Board of Directors of the Company wishes to gran |
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| November 12, 2014 |
WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT EXHIBIT 10.4 WAFERGEN BIO-SYSTEMS, INC. NONSTATUTORY STOCK OPTION AGREEMENT This Nonstatutory Stock Option Agreement (this “Agreement”) is executed August 27th, 2014, by and between WAFERGEN BIO-SYSTEMS, INC., a Delaware corporation (the “Company”), and Keith Warner (“Employee”). W I T N E S S E T H: WHEREAS, the Compensation Committee of the Board of Directors of the Company wishes to grant Emplo |
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| November 7, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 7, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commissi |
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| November 7, 2014 |
EXHIBIT 99.1 November 7, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-systems Announces Third Quarter 2014 Results Solid Execution Across SmartChip and Apollo Product Lines Appointment of Chief Operating Officer and Chief Financial Officer Completion of $20 million offering of Common Stock and Warrants FREMONT, Calif., November 7, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (NASDAQ: WGBS) announced |
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| October 15, 2014 |
WGBS / WaferGen Bio-Systems, Inc. POS AM - - As filed with the Securities and Exchange Commission on October 15, 2014 Registration No. |
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| October 15, 2014 |
WGBS / WaferGen Bio-Systems, Inc. POS AM - - As filed with the Securities and Exchange Commission on October 15, 2014 Registration No. |
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| October 8, 2014 |
WGBS / WaferGen Bio-Systems, Inc. DEF 14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive |
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| August 29, 2014 |
WGBS / WaferGen Bio-Systems, Inc. / RA Capital Management, LLC - SC 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.)* WAFERGEN BIO-SYSTEMS, INC. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 93041P308 (CUSIP Number) August 22, 2014 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the |
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| August 25, 2014 |
Filed Pursuant to Rule 424(b)(4) Under the Securities Act of 1933 Registration No. |
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| August 19, 2014 |
As filed with the Securities and Exchange Commission on August 19, 2014 As filed with the Securities and Exchange Commission on August 19, 2014 Registration No. |
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| August 19, 2014 |
COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. EX-4.15 2 ex4-15.htm FORM OF WARRANT EXHIBIT 4.15 COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. Warrant Shares: Initial Exercise Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or |
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| August 19, 2014 |
WGBS / WaferGen Bio-Systems, Inc. 8-A12B - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-A FOR REGISTRATION OF CERTAIN CLASSES OF SECURITIES PURSUANT TO SECTION 12(b) OR (g) OF THE SECURITIES EXCHANGE ACT OF 1934 WAFERGEN BIO-SYSTEMS, INC. |
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| August 18, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EXHIBIT 10.1 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the “Agreement”), dated August 25, 2014 (the “Effective Date”), is by and between WaferGen Biosystems, Inc. (the “Company”) and Michael P. Henighan (“Executive”) (collectively, the “parties”). I. POSITION AND RESPONSIBILITIES A. Term. The initial term of this Agreement shall begin on the Effective Date and shall end o |
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| August 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 12, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commissio |
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| August 18, 2014 |
WaferGen Announces Appointment of Chief Operating Officer and Chief Financial Officer EX-99.1 4 ex99-1.htm PRESS RELEASE EXHIBIT 99.1 August 18, 2014 FOR IMMEDIATE RELEASE WaferGen Announces Appointment of Chief Operating Officer and Chief Financial Officer FREMONT, Calif., August 18, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCQB: WGBS) today announced that the Company has appointed two seasoned executives to its senior management team, Keith Warner as Chief Operating Offic |
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| August 18, 2014 |
EXECUTIVE EMPLOYMENT AGREEMENT EXHIBIT 10.2 EXECUTIVE EMPLOYMENT AGREEMENT This Executive Employment Agreement (the “Agreement”), dated August 14,2014 (the “Effective Date”), is by and between WAFERGEN BIOSYSTEMS, INC. (the “Company”) and KEITH WARNER (“Executive”) (collectively, the “parties”). A. POSITION AND RESPONSIBILITIES 1. Term. The initial term of this Agreement shall begin on the Effective Date and shall end on the th |
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| August 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) ? QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended June 30, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-53252 WaferGen B |
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| August 11, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| August 11, 2014 |
WaferGen Bio-systems Second Quarter 2014 Conference Call Script Thursday, August 7, 2014 EXHIBIT 99.1 WaferGen Bio-systems Second Quarter 2014 Conference Call Script Thursday, August 7, 2014 Introduction: Bob Yedid, ICR: Good afternoon, this is Bob Yedid from ICR Inc. and welcome to the WaferGen Bio-systems Second Quarter 2014 Financial Conference call. Joining us on the call today are Ivan Trifunovich, President and Chief Executive Officer and Steve Baker, Chief Financial Officer. I |
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| August 7, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): August 7, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| August 7, 2014 |
EXHIBIT 99.1 August 7, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-systems Reports Strong Revenue Growth for Q2 2014 Solid Execution Across SmartChip and Apollo Product Lines FREMONT, Calif., August 7, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCQB: WGBS) announced today its financial results for the second quarter ended June 30, 2014. Key Highlights · Revenue for the second quarter of 2014 was |
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| August 4, 2014 |
EXHIBIT 1.1 SHARES OF COMMON STOCK, SHARES OF SERIES 2 CONVERTIBLE PREFERRED STOCK AND WARRANTS (EXERCISABLE FOR SHARES) OF WAFERGEN BIO-SYSTEMS, INC. UNDERWRITING AGREEMENT , 2014 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 4400 Biscayne Blvd., 14th Floor Miami, Florida 33137 Ladies and Gentlemen: The undersigned, WAFERGEN BI |
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| August 4, 2014 |
EXHIBIT 3.4 WAFERGEN BIO-SYSTEMS, INC. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES 2 CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 78.1955 OF THE NEVADA REVISED STATUTES WaferGen Bio-systems, Inc., a Nevada corporation (the “Corporation”), in accordance with the provisions of Section 78.1955 of the Nevada Revised Statutes does hereby certify that the following res |
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| August 4, 2014 |
As filed with the Securities and Exchange Commission on August 4, 2014 As filed with the Securities and Exchange Commission on August 4, 2014 Registration No. |
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| July 18, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): July 17, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| July 18, 2014 |
COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. EXHIBIT 4.15 COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. Warrant Shares: Initial Exercise Date: , 2014 THIS COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after the date hereof (the “Initial |
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| July 18, 2014 |
EXHIBIT 4.14 Please refer to ex4-14.pdf |
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| July 18, 2014 |
As filed with the Securities and Exchange Commission on July 18, 2014 As filed with the Securities and Exchange Commission on July 18, 2014 Registration No. |
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| July 18, 2014 | ||
| July 18, 2014 |
EXHIBIT 10.18 July 17, 2014 WaferGen Bio-systems, Inc. 7400 Paseo Padre Parkway Fremont, California 94555 Attention: Ivan Trifunovich Re: Irrevocable Waiver of Board Rights Under Exchange Agreement dated as of August 27, 2013 (the “Exchange Agreement”) by and among WaferGen Bio-systems, Inc. (the “Company”) and the investors listed on the signature pages thereto (the “Investors”) Ladies and Gentle |
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| July 18, 2014 |
EXHIBIT 1.1 SHARESOF COMMON STOCK AND WARRANTS OF WAFERGEN BIO-SYSTEMS, INC. UNDERWRITING AGREEMENT , 2014 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 4400 Biscayne Blvd., 14th Floor Miami, Florida 33137 Ladies and Gentlemen: The undersigned, WAFERGEN BIO-SYSTEMS, INC., a company incorporated under the laws of Nevada (collecti |
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| July 18, 2014 |
THIRD AMENDMENT TO MULTI-TENANT LEASE EXHIBIT 10.17 THIRD AMENDMENT TO MULTI-TENANT LEASE This THIRD AMENDMENT TO MULTI-TENANT LEASE (“Amendment”) dated for reference purposes only as of June 27, 2014 (the “Effective Date”), is entered into by and between LBA REALTY FUND III-COMPANY VII, LLC, a Delaware limited liability company (“Landlord”), and WAFERGEN, INC., a Delaware corporation (“Tenant”). R E C I T A L S: A. Landlord and Tenan |
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| July 18, 2014 |
EXHIBIT 99.1 July 18, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-Systems Announces Appointment of Ivan Trifunovich as Chairman of the Board; Joel Kanter to Serve as Lead Independent Director FREMONT, Calif., July 18, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCBB: WGBSD) today announced that its Board of Directors has appointed Ivan Trifunovich, the company’s President and Chief Executive Offi |
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| July 18, 2014 |
COMMON STOCK PURCHASE WARRANT WAFERGEN BIO-SYSTEMS, INC. EXHIBIT 4.16 NEITHER THIS SECURITY NOR THE SECURITIES FOR WHICH THIS SECURITY IS EXERCISABLE HAVE BEEN REGISTERED WITH THE SECURITIES AND EXCHANGE COMMISSION OR THE SECURITIES COMMISSION OF ANY STATE IN RELIANCE UPON AN EXEMPTION FROM REGISTRATION UNDER THE SECURITIES ACT OF 1933, AS AMENDED (THE “SECURITIES ACT”), AND, ACCORDINGLY, MAY NOT BE OFFERED OR SOLD EXCEPT PURSUANT TO AN EFFECTIVE REGIST |
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| June 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): June 30, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| June 30, 2014 |
EXHIBIT 3 Certificate of Amendment to Articles of Incorporation For Nevada Profit Corporations (Pursuant to NRS 78. |
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| June 30, 2014 |
WaferGen Bio-systems Announces Reverse Stock Split as it Pursues NASDAQ Listing EXHIBIT 99 June 30, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-systems Announces Reverse Stock Split as it Pursues NASDAQ Listing FREMONT, Calif. |
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| June 5, 2014 |
As filed with the Securities and Exchange Commission on June 5, 2014 Registration No. |
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| May 30, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 29, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission F |
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| May 28, 2014 |
EX-4.14 5 ex4-14.htm EXHIBIT 4.14 Please refer to ex4-14.pdf |
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| May 28, 2014 |
As filed with the Securities and Exchange Commission on May 28, 2014 As filed with the Securities and Exchange Commission on May 28, 2014 Registration No. |
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| May 28, 2014 |
AMENDMENT TO COMMON STOCK PURCHASE WARRANT (PRIVATE PLACEMENT) EX-4.12 3 ex4-12.htm EXHIBIT 4.12 AMENDMENT TO COMMON STOCK PURCHASE WARRANT (PRIVATE PLACEMENT) THIS AMENDMENT TO COMMON STOCK PURCHASE WARRANT (this “Amendment”) is dated as of March , 2014, by and between WaferGen Bio-systems, Inc., a Nevada corporation (the “Company”), and the investor signatory hereto (the “Investor”). Capitalized terms used but not defined herein have the meanings assigned t |
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| May 28, 2014 |
AMENDMENT TO COMMON STOCK PURCHASE WARRANT (EXCHANGE TRANSACTION) EX-4.11 2 ex4-11.htm EXHIBIT 4.11 AMENDMENT TO COMMON STOCK PURCHASE WARRANT (EXCHANGE TRANSACTION) THIS AMENDMENT TO COMMON STOCK PURCHASE WARRANT (this “Amendment”) is dated as of March , 2014, by and between WaferGen Bio-systems, Inc., a Nevada corporation (the “Company”), and the investor signatory hereto (the “Investor”). Capitalized terms used but not defined herein have the meanings assigne |
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| May 28, 2014 | ||
| May 28, 2014 |
AMENDMENT TO COMMON STOCK PURCHASE WARRANT (PLACEMENT AGENT) EX-4.13 4 ex4-13.htm EXHIBIT 4.13 AMENDMENT TO COMMON STOCK PURCHASE WARRANT (PLACEMENT AGENT) THIS AMENDMENT TO COMMON STOCK PURCHASE WARRANT (this “Amendment”) is dated as of March , 2014, by and between WaferGen Bio-systems, Inc., a Nevada corporation (the “Company”), and the holder signatory hereto (the “Holder”). Capitalized terms used but not defined herein have the meanings assigned to such |
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| May 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2014 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-53252 WaferGen |
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| May 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 8, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 13, 2014 |
WaferGen Bio-systems First Quarter 2014 Conference Call Script EXHIBIT 99.1 WaferGen Bio-systems First Quarter 2014 Conference Call Script Intro: Good afternoon, this is Bob Yedid from ICR Inc. and welcome to the WaferGen Bio-systems First Quarter 2014 Financial Conference call. Joining us on the call today are Ivan Trifunovich, President and Chief Executive Officer, and Stephen Baker, Chief Financial Officer. I will now read the company’s safe harbor stateme |
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| May 8, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): May 8, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission Fi |
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| May 8, 2014 |
EXHIBIT 99.1 May 8, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-systems Reports Strong Revenue Growth for Q1 2014 Solid Execution Across SmartChip and Apollo Product Lines Company Increases Full Year 2014 Revenue Guidance from over $5 million to over $6 million FREMONT, Calif., May 8, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCQB: WGBS) announced today its financial results for the first quart |
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| April 28, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: o Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) þ Definitive |
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| April 16, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A INFORMATION PROXY STATEMENT PURSUANT TO SECTION 14(A) OF THE SECURITIES EXCHANGE ACT OF 1934 Filed by the Registrant þ Filed by a Party other than the Registrant o Check the appropriate box: þ Preliminary Proxy Statement o Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) o Definitive |
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| March 24, 2014 |
WaferGen Bio-systems Announces Fourth Quarter and Year-End 2013 Conference Call EXHIBIT 99.1 WaferGen Bio-systems Announces Fourth Quarter and Year-End 2013 Conference Call Fremont, Calif., March 18, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (WGBS) announced today that it will host a conference call and live audio webcast to discuss its financial results for the quarter and year ended December 31, 2013. The call and webcast will be held on Monday, March 24, 2014 at 11:00 |
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| March 24, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 18, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| March 24, 2014 |
WaferGen Bio-systems Fourth Quarter and 2013 and Year-End Conference Call Outline EXHIBIT 99.2 WaferGen Bio-systems Fourth Quarter and 2013 and Year-End Conference Call Outline ProActive Intro: Good morning, this is Kirin Smith from ProActive Capital and welcome to the Wafergen Bio-systems Fourth Quarter and year-end 2013 Financial Conference call. Joining us on the call today is Ivan Trifunovich, President and CEO of WaferGen Bio-systems. I will now read the company’s safe har |
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| March 21, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K/A (Amendment No.1) CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): January 6, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorp |
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| March 21, 2014 |
EXHIBIT 99.2 WAFERGEN BIO-SYSTEMS, INC. Unaudited Pro Forma Condensed Consolidated Financial Information December 31, 2013 WAFERGEN BIO-SYSTEMS, INC. Unaudited Pro Forma Condensed Consolidated Financial Information December 31, 2013 Table of Contents Page Overview of Unaudited Pro Forma Condensed Consolidated Financial Information as of December 31, 2013 1 Unaudited Pro Forma Condensed Consolidate |
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| March 21, 2014 |
EXHIBIT 99.1 APOLLO PRODUCT LINE FINANCIAL STATEMENTS FOR THE YEAR ENDED DECEMBER 31, 2013 APOLLO PRODUCT LINE CONTENTS December 31, 2013 Page INDEPENDENT AUDITOR’S REPORT 1 - 2 FINANCIAL STATEMENTS Statement of Assets Acquired and Liabilities Assumed 3 Statement of Revenues and Direct Expenses 4 Notes to Financial Statements 5 – 11 INDEPENDENT AUDITOR’S REPORT To the Board of Directors and Stockh |
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| March 14, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K (Mark One) þ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number: 000-53252 WaferGen Bio-s |
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| March 14, 2014 |
WaferGen Bio-systems Reports Solid Revenue Growth for Q4 and the Year 2013 EXHIBIT 99.1 March 13, 2014 FOR IMMEDIATE RELEASE WaferGen Bio-systems Reports Solid Revenue Growth for Q4 and the Year 2013 Enters 2014 with enhanced balance sheet and primed for further growth with acquisition of the Apollo 324TM product line FREMONT, Calif., March 13, 2014 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCQB: WGBS) announced today its financial results for the fourth quarter and ye |
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| March 14, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - EARNINGS RELEASE UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): March 13, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commission |
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| March 14, 2014 |
SUBSIDIARIES OF THE REGISTRANT EXHIBIT 21.1 SUBSIDIARIES OF THE REGISTRANT Name Jurisdiction Wafergen, Inc. Delaware WaferGen Biosystems Europe S.a r.1. Luxembourg |
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| February 18, 2014 |
Filed Pursuant to Rule 424(b)(5) Registration No. 333-191645 WAFERGEN BIO-SYSTEMS, INC. PROSPECTUS Up to 10,911,058 Shares of Common Stock This prospectus relates to the offering by the selling stockholders of WaferGen Bio-systems, Inc. of up to 10,911,058 shares of common stock, par value $0.001 per share. These shares include 1,067,317 shares of issued and outstanding shares of common stock, 1,6 |
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| February 18, 2014 |
WAFERGEN BIO-SYSTEMS, INC. Up to 11,278,129 Shares of Common Stock Filed Pursuant to Rule 424(b)(5) Registration No. 333-192003 WAFERGEN BIO-SYSTEMS, INC. PROSPECTUS Up to 11,278,129 Shares of Common Stock This prospectus relates to the offering by the selling stockholders of WaferGen Bio-systems, Inc. of up to 11,278,129 shares of common stock, par value $0.001 per share. These shares include 5,893,750 shares of issued and outstanding shares of common stock, 1,6 |
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| February 14, 2014 |
WGBS / WaferGen Bio-Systems, Inc. / GREAT POINT PARTNERS LLC Passive Investment SC 13G/A 1 c76423sc13ga.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2)* WaferGen Bio-systems, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 93041P100 (CUSIP Number) February 6, 2014 (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate |
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| February 14, 2014 |
WGBS / WaferGen Bio-Systems, Inc. / Flynn James E Passive Investment SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. |
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| February 12, 2014 |
February 12, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Russell Mancuso Tom Jones Re: WaferGen Bio-systems, Inc. Registration Statement on Form S-1 File No. 333-192003 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, the undersigned registra |
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| February 12, 2014 |
February 12, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, D.C. 20549 Attn: Russell Mancuso Tom Jones Re: WaferGen Bio-systems, Inc. Registration Statement on Form S-1 File No. 333-191645 Ladies and Gentlemen: Pursuant to Rule 461 promulgated under the Securities Act of 1933, as amended, the undersigned registra |
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| February 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): February 12, 2014 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| February 12, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-Q/A Amendment No. 1 (Mark One) þ QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2013 OR o TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file numbe |
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| February 12, 2014 |
As filed with the Securities and Exchange Commission on February 12, 2014 Registration No. |
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| February 12, 2014 |
As filed with the Securities and Exchange Commission on February 12, 2014 Registration No. |
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| January 29, 2014 |
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) Wafergen Biosystems, Inc. Common Stock (Title of Class of Securities) 93041P100 (CUSIP Number) December 31, 2013 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: o R |
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| January 27, 2014 |
As filed with the Securities and Exchange Commission on January 27, 2014 Registration No. |
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| January 27, 2014 |
January 27, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Tom Jones Re: WaferGen Bio-systems, Inc. Amendment No. 2 to Registration Statement on Form S-1 Filed January 9, 2014 File No. 333-191645 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), we subm |
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| January 27, 2014 |
- FORM S-1/A OFFERING AMENDMENT #3 As filed with the Securities and Exchange Commission on January 27, 2014 Registration No. |
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| January 27, 2014 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT by and between INTEGENX INC. and WAFERGEN, INC. Dated as of January 6, 2014 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of the sixth day of January, 2014, is by and between INTEGENX INC., a California corporation (“Seller”), and WAFERGEN, INC., a Delaware corporation (“Purchaser”). RECITALS: A. Seller is engaged in the bus |
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| January 27, 2014 |
January 27, 2014 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Tom Jones Re: WaferGen Bio-systems, Inc. Amendment No. 2 to Registration Statement on Form S-1 Filed January 9, 2014 File No. 333-191645 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), we subm |
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| January 27, 2014 |
Exhibit 2.1 ASSET PURCHASE AGREEMENT by and between INTEGENX INC. and WAFERGEN, INC. Dated as of January 6, 2014 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of the sixth day of January, 2014, is by and between INTEGENX INC., a California corporation (“Seller”), and WAFERGEN, INC., a Delaware corporation (“Purchaser”). RECITALS: A. Seller is engaged in the bus |
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| January 9, 2014 |
- FORM S-1/A OFFERING AMENDMENT #2 S-1/A 1 forms1a-2offering.htm FORM S-1/A OFFERING AMENDMENT #2 As filed with the Securities and Exchange Commission on January 9, 2014 Registration No. 333-192003 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1/A (Amendment No. 2) REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 WAFERGEN BIO-SYSTEMS, INC. (Exact name of registrant as specified in its charter |
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| January 9, 2014 |
- FORM S-1/A EXCHANGE AMENDMENT #2 As filed with the Securities and Exchange Commission on January 9, 2014 Registration No. |
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| January 6, 2014 |
Exhibit 10.3 SECURITY AGREEMENT THIS SECURITY AGREEMENT (the “Agreement”) is made as of January 6, 2014, by and between WAFERGEN, INC., a Delaware corporation (the “Company”), and INTEGENX INC., a California corporation (the “Secured Party”). RECITALS: WHEREAS, Company and Secured Party contemplate entering into that certain Asset Purchase Agreement of even date herewith (the “Purchase Agreement”; |
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| January 6, 2014 |
8-K 1 form8-k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): December 30, 2013 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction |
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| January 6, 2014 |
SECURED PROMISSORY NOTE WAFERGEN, INC. Exhibit 10.2 SECURED PROMISSORY NOTE OF WAFERGEN, INC. $1,250,000 January 6, 2014 Wafergen, Inc., a Delaware corporation (the “Company”), for value received, hereby promises to pay to the order of IntegenX Inc., a California corporation (the “Holder”), at the address set forth in Section 8 hereof, in lawful money of the United States of America (“Dollars” or “$”) and in immediately available funds |
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| January 6, 2014 |
Exhibit 10.1 ASSET PURCHASE AGREEMENT by and between INTEGENX INC. and WAFERGEN, INC. Dated as of January 6, 2014 ASSET PURCHASE AGREEMENT This ASSET PURCHASE AGREEMENT (this “Agreement”) dated as of the sixth day of January, 2014, is by and between INTEGENX INC., a California corporation (“Seller”), and WAFERGEN, INC., a Delaware corporation (“Purchaser”). RECITALS: A. Seller is engaged in the bu |
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| December 24, 2013 |
December 24, 2013 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Brian Soares Re: WaferGen Bio-systems, Inc. Amendment No. 1 to Registration Statement on Form S-1 Filed December 19, 2013 File No. 333-191645 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), w |
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| December 24, 2013 |
December 24, 2013 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Brian Soares Re: WaferGen Bio-systems, Inc. Amendment No. 1 to Registration Statement on Form S-1 Filed December 19, 2013 File No. 333-192003 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), w |
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| December 19, 2013 |
- FORM S-1/A OFFERING AMENDMENT #1 As filed with the Securities and Exchange Commission on December 19, 2013 Registration No. |
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| December 19, 2013 |
As filed with the Securities and Exchange Commission on December 19, 2013 Registration No. |
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| December 2, 2013 |
December 2, 2013 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Brian Soares Re: WaferGen Bio-systems, Inc. Post-effective amendment to Form S-1 Filed October 9, 2013 File No. 333-191645 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), we submit this letter |
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| December 2, 2013 |
December 2, 2013 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Brian Soares Re: WaferGen Bio-systems, Inc. Registration Statement on Form S-1 Filed October 31, 2013 File No. 333-192003 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), we submit this letter |
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| November 14, 2013 |
EXHIBIT 99.1 November 14, 2013 FOR IMMEDIATE RELEASE WaferGen Bio-systems Reports Q3 ’13 Results and Commercial Focus on Target Enrichment for Next-Gen Sequencing (NGS) Following a successful capital raise the Company ramps up commercialization activities focused on launching SmartChip TE – a new product aimed at Next-Generation Sequencing-based clinical testing to improve outcomes and increase pr |
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| November 14, 2013 |
Financial Statements and Exhibits, Results of Operations and Financial Condition - UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): November 14, 2013 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commiss |
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| November 8, 2013 |
November 8, 2013 VIA EDGAR CORRESPONDENCE U.S. Securities and Exchange Commission Division of Corporation Finance 100 F Street N.E. Washington, D.C. 20549 Attn: Russell Mancuso Brian Soares Re: WaferGen Bio-systems, Inc. Post-effective amendment to Form S-1 Filed October 9, 2013 File No. 333-191645 Ladies and Gentlemen: On behalf of WaferGen Bio-systems, Inc. (the “Company”), we submit this letter |
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| October 31, 2013 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): October 25, 2013 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) (Commissi |
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| October 31, 2013 |
As filed with the Securities and Exchange Commission on October 30, 2013 Registration No. |
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| October 31, 2013 |
Exhibit 10.30 Dated 2013 WAFERGEN BIOSYSTEMS (M) SDN BHD (Company No. 795066-H) And WAFERGEN BIOSYSTEMS INC And MALAYSIAN TECHNOLOGY DEVELOPMENT CORPORATION SDN BHD (Company No. 235796-U) SETTLEMENT AGREEMENT RAHMAT LIM & PARTNERS SUITE 33.01 LEVEL 33, THE GARDENS NORTH TOWER, MID VALLEY CITY, LINGKARAN SYED PUTRA, 59200 KUALA LUMPUR, MALAYSIA TABLE OF CONTENTS Contents Page 1. DEFINITIONS AND INT |
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| October 9, 2013 |
Registration Statement - FORM S-1 As filed with the Securities and Exchange Commission on October 9, 2013 Registration No. |
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| October 9, 2013 |
Exhibit 4.10 No. WaferGen Biosystems (M) Sdn Bhd Suite 2-1, 2nd Floor Menara Penang Garden 42A Jalan Sultan Ahmad Shah Georgetown, 10050 Pulau Pinang USD ON DEMAND made after 15 August 2020 pay to WaferGen Biosystems (M) Sdn Bhd (the payee) the sum of US Dollar value received. This Bill of Exchange shall be governed by and construed in accordance with the laws of Malaysia. For and on behalf of Waf |
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| October 2, 2013 |
Form 8k UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of The Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 30, 2013 WaferGen Bio-systems, Inc. (Exact name of registrant as specified in its charter) Nevada 000-53252 90-0416683 (State or other jurisdiction of incorporation) |
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| October 2, 2013 |
WaferGen Bio-systems Reports Completion of $15 Million Private Placement Transaction Exhibit 99.1 EXHIBIT 99.1 October 2, 2013 FOR IMMEDIATE RELEASE WaferGen Bio-systems Reports Completion of $15 Million Private Placement Transaction Proceeds to be used to support commercialization activities intended to increase revenues from sales of target enrichment and other products FREMONT, Calif., October 2, 2013 /PRNewswire/ - WaferGen Bio-systems, Inc. (OTCQB: WGBS) announced today that |
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| September 5, 2013 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of John Harland, Ian Lamdin, Mark Busch and Mike Denny, signing singly, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of WaferGen Bio-systems, Inc. |
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| September 5, 2013 |
POWER OF ATTORNEY The undersigned hereby constitutes and appoints each of John Harland, Ian Lamdin, Mark Busch and Mike Denny, signing singly, as the undersigned’s true and lawful attorney-in-fact to: (1) execute for and on behalf of the undersigned, in the undersigned’s capacity as an officer and/or director of WaferGen Bio-systems, Inc. |
