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CDXC ChromaDex Corporation

3.83
0.05 (1.32%)
Last Updated: 18:34:59
Delayed by 15 minutes
Share Name Share Symbol Market Type
ChromaDex Corporation NASDAQ:CDXC NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.05 1.32% 3.83 3.82 3.84 3.9799 3.74 3.77 150,577 18:34:59

Statement of Changes in Beneficial Ownership (4)

22/08/2017 1:35pm

Edgar (US Regulatory)


FORM 4
[ X ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

Pioneer Step Holdings Ltd
2. Issuer Name and Ticker or Trading Symbol

ChromaDex Corp. [ CDXC ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                      __ X __ 10% Owner
_____ Officer (give title below)      _____ Other (specify below)
(Last)          (First)          (Middle)

C/O 29TH FLOOR, HARBOUR CENTRE, 25 HARBOUR ROAD
3. Date of Earliest Transaction (MM/DD/YYYY)

8/18/2017
(Street)

WANCHAI, K3 
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

___ Form filed by One Reporting Person
_ X _ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price
Common Stock   8/18/2017     P    786167   (1) A $2.60   3846155   D   (2)  

Table II - Derivative Securities Beneficially Owned ( e.g. , puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security 3. Trans. Date 3A. Deemed Execution Date, if any 4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date 7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares

Explanation of Responses:
(1)  Pioneer Step Holdings Limited ("Pioneer Step") acquired 786,167 shares of the Issuer's common stock at the closing of the third tranche on August 18, 2017, pursuant to the Securities Purchase Agreement, dated April 26, 2017 (the "SPA"), by and among the Issuer, Champion River Ventures Limited ("Champion River") and Pioneer Step, as amended by the First Amendment to Securities Purchase Agreement, dated May 24, 2017 (the "First Amendment"), by and among the Issuer, Champion River and Pioneer Step.
(2)  The shares are held directly by Pioneer Step. The sole shareholder and sole director of Pioneer Step is Chau Hoi Shuen Solina Holly ("Solina Chau"). Solina Chau disclaims Section 16 beneficial ownership of the securities held by Pioneer Step, except to the extent of her pecuniary interest therein, if any.

Remarks:
Exhibit 24 - Power of Attorney (incorporated herein by reference to the Power of Attorney filed as Exhibit 24 to the Form 3 filed by the Reporting Persons on May 8, 2017)

Reporting Owners
Reporting Owner Name / Address
Relationships
Director 10% Owner Officer Other
Pioneer Step Holdings Ltd
C/O 29TH FLOOR, HARBOUR CENTRE
25 HARBOUR ROAD
WANCHAI, K3 

X

Chau Hoi Shuen Solina Holly
C/O 29TH FLOOR, HARBOUR CENTRE
25 HARBOUR ROAD
WANCHAI, K3 

X


Signatures
Pioneer Step Holdings Limited, By: /s/ Ng Ngar Bun Raymond, Attorney-in-Fact 8/22/2017
** Signature of Reporting Person Date

Chau Hoi Shuen Solina Holly, By: /s/ Ng Ngar Bun Raymond, Attorney-in-Fact 8/22/2017
** Signature of Reporting Person Date


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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