UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
9% Convertible Debenture | Â (1) | 11/14/2015 | Common Stock | 4,192,890 (2) (3) | $ 1.25 | D | Â |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
IDEX CORP /DE/ 1925 WEST FIELD COURT, SUITE 200 LAKE FOREST, IL 60045 |
 |  X |  |  |
IDEX Corporation, by /s/ Frank J. Notaro, Vice President and General Counsel | 03/07/2011 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The debenture is convertible on the maturity date (November 14, 2015), any interest payment date (the first business day of each calendar quarter) or the date of a change of control event (as defined in the debenture), at the written election of the holder and upon three business days' notice to Microfluidics International Corporation. |
(2) | IDEX Corporation ("IDEX"), Nano Merger Sub, Inc. (a wholly-owned subsidiary of IDEX), Global Strategic Partners, LLC ("GPS"), Abraxis BioScience, LLC and American Stock Transfer and Trust Company, LLC, in its capacity as custodian, entered into an Agreement Concerning Debenture, dated January 10, 2011 (the "Agreement Concerning Debenture"), pursuant to which, on February 25, 2011, IDEX purchased the debenture from GPS for approximately $4.2 million, and the debenture was assigned and transferred to IDEX. |
(3) | These shares were omitted from the Reporting Person's initial Form 3. |