|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549STATEMENT OF CHANGES IN 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 |
|
| |||||||||||||||||||||||||||||
|
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | |||
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. | SEC 1474 (9-02) |
1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction 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 (Month/Day/Year) |
7. Title and Amount of Underlying Securities (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 | ||||||||
Options | $ 0.74 | 09/30/2005 | A | 500,000 | 09/30/2005 | 09/30/2010 | Common | 500,000 | $ 0 | 500,000 (1) | D |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Han Yanlin C/O DRAGON PHARMACEUTICAL, INC. 1055 WEST HASTINGS ST., SUITE 1900 VANCOUVER, A1 V6E 2E9 |
X | Chairman of the Board |
/s/ Yanlin Han by Maggie Deng POA | 10/01/2005 | |
**Signature of Reporting Person | Date |
* | 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). |
(1) | Includes stock options only. Does not include 2,997,682 "Additional Closing Dragon Shares" which have already been reported. Under the terms of the June 11, 2004 Share Purchase Agreement, Mr. Han received Additional Closing Dragon Shares in order to maintain his pro rata interest in the Company in the event certain options and warrants outstanding as of the closing date are subsequently exercised. The Additional Closing Dragon Shares may be issued or cancelled depending on whether or not such outstanding options or warrants are exercised or cancelled. Such Additional Closing Dragon Shares are held in escrow and are not assumed outstanding until released from escrow. |