- Statement of Changes in Beneficial Ownership (4)
April 17 2012 - 4:34PM
Edgar (US Regulatory)
FORM 4
[ ]
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue.
See
Instruction 1(b).
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0287
Estimated average burden
hours per response...
0.5
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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(f) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
ERBA Diagnostics Mannheim GmbH
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2. Issuer Name
and
Ticker or Trading Symbol
IVAX DIAGNOSTICS INC
[
IVD
]
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5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
__
X
__ Director
__
X
__ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Last)
(First)
(Middle)
MALLAUSTR 69-73,
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3. Date of Earliest Transaction
(MM/DD/YYYY)
4/16/2012
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(Street)
MANNHEIM, 2M 68219
(City)
(State)
(Zip)
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4. If Amendment, Date Original Filed
(MM/DD/YYYY)
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
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1.Title of Security
(Instr. 3)
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2. Trans. Date
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2A. Deemed Execution Date, if any
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3. Trans. Code
(Instr. 8)
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4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
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6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
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7. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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Amount
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(A) or (D)
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Price
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Common Stock, $0.01 par value
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4/16/2012
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O
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600000
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A
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$0.75
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40626313
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D
(1)
(4)
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Common Stock, $0.01 par value
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8400
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I
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By subsidiary
(2)
(4)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 3)
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2. Conversion or Exercise Price of Derivative Security
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3. Trans. Date
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3A. Deemed Execution Date, if any
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4. Trans. Code
(Instr. 8)
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5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
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6. Date Exercisable and Expiration Date
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7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
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8. Price of Derivative Security
(Instr. 5)
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9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
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10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)
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11. Nature of Indirect Beneficial Ownership (Instr. 4)
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Code
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V
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(A)
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(D)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Common Stock Warrants (right to buy)
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$0.75
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4/16/2012
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O
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600000
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7/1/2011
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7/1/2016
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Common Stock, $0.01 par value
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600000
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$0
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19400000
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D
(3)
(4)
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Explanation of Responses:
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(
1)
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These shares are held directly by ERBA and indirectly by Transasia Bio-Medicals Ltd., its corporate parent, and Suresh H. Vazirani, its controlling shareholder.
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(
2)
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These shares are held by Erba Lachema s.r.o., a direct wholly-owned subsidiary of ERBA.
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(
3)
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These warrants are held directly by ERBA and indirectly by Transasia Bio-Medicals Ltd., its corporate parent, and Suresh H. Vazirani, its controlling shareholder.
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(
4)
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All of the reporting persons may be deemed to have beneficial ownership with respect to these securities, however, each reporting person disclaims such beneficial ownership except to the extent of his or its pecuniary interest therein.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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ERBA Diagnostics Mannheim GmbH
MALLAUSTR 69-73
MANNHEIM, 2M 68219
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X
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X
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Transasia Bio-Medicals Ltd.
TRANSASIA HOUSE
8 CHANDIVALI STUDIO ROAD
MUMBAI, IN 400072
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X
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Erba Lachema s.r.o.
KARASEK 1D
BRNO, 2N 62133
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X
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Vazirani Suresh H.
TRANSASIA HOUSE
8 CHANDIVALI STUDIO ROAD
MUMBAI, IN 400072
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X
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X
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Executive Chairman of Board
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DUDANI KISHORE
TRANSASIA HOUSE
8 CHANDIVALI STUDIO ROAD
MUMBAI, IN 400072
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X
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X
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Signatures
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ERBA Diagnostic Mannheim GmbH, By: /s/ Suresh Vazirani, Chief Executive Officer and Managing Director
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4/16/2012
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**
Signature of Reporting Person
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Date
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Transasia Bio-Medicals Ltd., By: /s/ Suresh Vazirani, Chairman and Managing Director
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4/16/2012
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**
Signature of Reporting Person
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Date
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Erba Lachema s.r.o, By: /s/ Suresh Vazirani, Statutory Body
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4/16/2012
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**
Signature of Reporting Person
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Date
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/s/ Suresh Vazirani
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4/16/2012
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**
Signature of Reporting Person
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Date
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/s/ Kishore Dudani
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4/16/2012
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 4(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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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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