IPO registrations (S-1, F-1) · Registrants
WaferGen Bio-systems, Inc.
- SEC CIK
- 1368993 · filings on EDGAR ↗
- Former names
- La Burbuja Cafe, Inc. (2006–2007)
- Registration
- Form S-1, first filed 2009-10-14, last 2015-10-15; 7 initial registrations, 19 amendments
- Outcome
- Final prospectus filed 2014-08-25; declared effective 2009-11-05
- Industry (SIC)
- Laboratory Analytical Instruments 3826
- Incorporated in
- NV
- Business address
- 34700 CAMPUS DRIVE, Fremont, CA 94555
- EIN
- 90-0416683
- EDGAR entity type
- operating
- Insiders and CEO pay
- WaferGen Bio-systems, Inc. on the corporate pages
Offering terms
- Final price
- $5.00 per share (424B4 filed 2014-08-25)
- Shares sold
- 2,000
- Gross proceeds
- $10,000 before underwriting discounts and any over-allotment option
- Listing
- OTCQB under the symbol WGBS
- Lead underwriters
- Ladenburg Thalmann
- Syndicate
- National Securities Corporation; Brean Capital
Read from the cover pages of the filings listed under “Prospectus pages read” below; check the document for anything that matters.
On this site
- Form 5500 plan sponsor: WAFERGEN BIOSYSTEMS EXACT (EIN (EXACT))
- SEC filer: WaferGen Bio-systems, Inc. EXACT (CIK (EXACT))
- Person page: Joel S Kanter Fuzzy (officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director))
Filings 51
| Filed | Form | What it is | Name as filed | EDGAR |
|---|---|---|---|---|
| 2009-10-14 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001144204-09-052922 ↗ |
| 2009-11-02 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001144204-09-055942 ↗ |
| 2009-11-05 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-09-003078 ↗ |
| 2010-03-02 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001144204-10-011057 ↗ |
| 2010-03-26 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-10-000008 ↗ |
| 2010-04-09 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-10-001002 ↗ |
| 2010-06-08 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-10-001741 ↗ |
| 2011-07-12 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001368993-11-000007 ↗ |
| 2011-07-18 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-11-002155 ↗ |
| 2011-07-18 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-11-002156 ↗ |
| 2011-07-18 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-11-002157 ↗ |
| 2011-07-18 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-11-002158 ↗ |
| 2011-09-22 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-11-000018 ↗ |
| 2011-10-28 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-11-000024 ↗ |
| 2011-11-02 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-11-000026 ↗ |
| 2011-11-02 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-11-000028 ↗ |
| 2011-11-04 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-11-003162 ↗ |
| 2012-05-11 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-12-001521 ↗ |
| 2013-05-28 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-13-001643 ↗ |
| 2013-10-09 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001513162-13-000744 ↗ |
| 2013-10-31 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001368993-13-000044 ↗ |
| 2013-12-19 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-13-000060 ↗ |
| 2013-12-19 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-13-000061 ↗ |
| 2014-01-09 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000003 ↗ |
| 2014-01-09 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000004 ↗ |
| 2014-01-27 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000005 ↗ |
| 2014-01-27 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000007 ↗ |
| 2014-02-12 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000016 ↗ |
| 2014-02-12 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000017 ↗ |
| 2014-02-14 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-14-000465 ↗ |
| 2014-02-14 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-14-000466 ↗ |
| 2014-05-28 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001368993-14-000047 ↗ |
| 2014-07-18 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000058 ↗ |
| 2014-08-04 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000061 ↗ |
| 2014-08-19 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-14-000070 ↗ |
| 2014-08-21 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-14-002575 ↗ |
| 2014-08-25 | 424B4 | 424B4 (final prospectus) | WaferGen Bio-systems, Inc. | 0001368993-14-000074 ↗ |
| 2014-10-31 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-14-003201 ↗ |
| 2014-10-31 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-14-003202 ↗ |
| 2015-02-06 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-15-000331 ↗ |
| 2015-05-08 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-15-001272 ↗ |
| 2015-08-14 | S-1 | S-1 (registration) | WaferGen Bio-systems, Inc. | 0001368993-15-000033 ↗ |
| 2015-09-23 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-15-000038 ↗ |
| 2015-10-15 | S-1/A | S-1/A (amendment) | WaferGen Bio-systems, Inc. | 0001368993-15-000042 ↗ |
| 2015-10-15 | S-1MEF | S-1MEF (added securities) | WaferGen Bio-systems, Inc. | 0001368993-15-000045 ↗ |
| 2015-10-15 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-15-002758 ↗ |
| 2015-10-19 | 424B4 | 424B4 (final prospectus) | WaferGen Bio-systems, Inc. | 0001368993-15-000046 ↗ |
| 2016-04-26 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-17-000390 ↗ |
| 2017-03-13 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-17-000618 ↗ |
| 2017-03-13 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-17-000620 ↗ |
| 2017-03-13 | EFFECT | EFFECT (declared effective) | WaferGen Bio-systems, Inc. | 9999999995-17-000621 ↗ |
Prospectus pages read 2
| Filed | Form | Read as | Range | Price | Shares | Proceeds | Listing | Underwriters | What was found | Document |
|---|---|---|---|---|---|---|---|---|---|---|
| 2014-08-19 | S-1/A | registration statement | $34.42 | 2,000 | $68,840 | OTCQB WGBS | 3 | primary document; price line, shares headline, proceeds computed, cover names 3 | document ↗ | |
| 2014-08-25 | 424B4 | final prospectus | $5.00 | 2,000 | $10,000 | OTCQB WGBS | 3 | primary document; price sentence, shares headline, proceeds computed, cover names 3 | document ↗ |
Officers, directors and large holders Forms 3, 4 and 5
| Insider | Role | Title | Filings | Years | On this site |
|---|---|---|---|---|---|
| Hautamaki R Dean | Director | 35 | 2008–2017 | ||
| Huda Amjad | Director,Officer; Other | CFO; CFO and Treasurer; Chief Financial Officer | 12 | 2008–2009 | |
| Joseph Victor | Director,Officer; Other | CTO; CTO and Secretary | 11 | 2008–2009 | |
| KANTER JOEL S | Director | 21 | 2008–2017 | person page Fuzzy | |
| Shivji Alnoor | Director; Director,Officer,TenPercentOwner; Director,TenPercentOwner | CEO; Chief Executive Officer | 55 | 2008–2014 | |
| SMITH NADINE C | Director | 19 | 2008–2011 | ||
| Kaneshiro Makoto | Director | 18 | 2009–2017 | ||
| Chadha Mona | Officer | Chief Operating Officer | 3 | 2009–2011 | |
| Hariri Robert J | Director | 10 | 2009–2011 | ||
| Coradini Robert | Director | 15 | 2009–2013 | ||
| Brush Hector | Officer | Treasurer (prin. fin. officer) | 1 | 2010 | |
| Huffman Donald D | Officer | Chief Financial Officer | 3 | 2010–2011 | |
| TRICHE TIMOTHY | Director | 7 | 2011–2013 | ||
| Davidson Scott Richard | Director | 6 | 2012–2013 | ||
| GREAT POINT PARTNERS LLC | Other | 12 | 2012–2013 | ||
| Pesce Joseph F | Director | 6 | 2012–2013 | ||
| TRIFUNOVICH IVAN | Director; Director,Officer; OfficerOther | CEO; CEO / President; President and CEO | 6 | 2012–2017 | |
| Harland John M | Officer | Interim CFO | 2 | 2012 | |
| McKenzie William Douglas | Director | 6 | 2014–2017 | ||
| Schueren Robert Alan | Director | 6 | 2014–2017 | ||
| Baker Stephen T | Officer | Chief Financial Officer | 1 | 2014 | |
| Warner Keith | Officer | Chief Operating Officer | 3 | 2014–2015 | |
| Henighan Michael P | Officer | Chief Financial Officer | 5 | 2014–2017 | |
| MARXE AUSTIN W & GREENHOUSE DAVID M | TenPercentOwner | 2 | 2014–2015 | ||
| AWM Investment Company, Inc. | TenPercentOwner | 3 | 2015 | ||
| Carlson Rolland | Director,Officer | CEO and President | 4 | 2015–2017 |
Everyone who filed an insider report for this company, from the SEC’s Insider Transactions Data Sets (2006 on). Person pages are matched by name and state only.
Data: SEC EDGAR. The quarterly full index (every S-1, S-1/A, F-1 and F-1/A since 1993, with the pricing prospectus, notice of effectiveness and withdrawal request of each registrant) and the company submissions data (SIC, state of incorporation, address, EIN, tickers, former names). Company details are what EDGAR holds today, not at the time of the filing.
Also on this site Fuzzy
| Record | Name as filed | Where | Dataset | Matched by |
|---|---|---|---|---|
| SEC filer | WaferGen Bio-systems, Inc. | SEC filers (EDGAR) | CIK (EXACT) | |
| Trademark owner | Wafergen Bio-Systems, Inc. | CA | Trademarks (USPTO) | name and state |
| Form 5500 plan sponsor | WAFERGEN BIOSYSTEMS | EIN (EXACT) | ||
| Person page | Joel S Kanter | People (Form 990 officers, directors and employees) | officer, director or 10% owner on the company's Forms 3, 4 and 5 (Director) |
Matched by an identifier (EIN, CIK, CRD), by name and state or city, or by street address; a shared name or address is not proof of the same person or organization. Every link says how it was made; how the cross-referencing works.