Form 8-K



SECURITIES AND EXCHANGE COMMISSION

 

Washington, D.C. 20549

 

FORM 8-K

 

CURRENT REPORT

 

PURSUANT TO SECTION 13 OR 15(d) OF
THE SECURITIES EXCHANGE ACT OF 1934

 

Date of Report (Date of earliest event reported): November 17, 2011


VolitionRX Limited

(Exact name of Company as specified in its charter)

 

Delaware

0-24707

91-1949078

(State or other jurisdiction

(Commission File Number)

(IRS Employer

Identification Number)

of Incorporation)

 

 

150 Orchard Road

Orchard Plaza 08-02

Singapore 238841

(Address of principal executive offices)

Telephone:  (201) 618-1750

Facsimile:  +65 6333 7235

(Registrant’s Facsimile Number)

 

 

 

 

 

 

 

Copy of all Communications to:

Carrillo Huettel, LLP

Wade Huettel, Esq.

3033 Fifth Avenue, Suite 400

San Diego, CA 92103

Phone: 619.546.6100

Fax: 619.546.6060



Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the Company under any of the following provisions:

 

      .  Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) 


      .  Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) 


      .  Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))


      .  Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))







VOLITIONRX LIMITED

FORM 8-K

CURRENT REPORT


ITEM 3.02

UNREGISTERED SALES OF EQUITY SECURITIES


The information set forth below in Item 8.01 of this Current Report on Form 8-K is incorporated herein by reference into this Item 3.02.


Exemption From Registration. The shares of Common Stock referenced herein were issued in reliance upon the exemption from securities registration afforded by the provisions of Section 4(2) of the Securities Act of 1933, as amended, (“Securities Act”), and/or Regulation D, as promulgated by the U.S. Securities and Exchange Commission under the Securities Act, based upon the following: (a) each of the persons to whom the shares of Common Stock were issued (each such person, an “Investor”) confirmed to the Company that it or he is an “accredited investor,” as defined in Rule 501 of Regulation D promulgated under the Securities Act and has such background, education and experience in financial and business matters as to be able to evaluate the merits and risks of an investment in the securities, (b) there was no public offering or general solicitation with respect to the offering of such shares, (c) each Investor was provided with certain disclosure materials and all other information requested with respect to the Company, (d) each Investor acknowledged that all securities being purchased were being purchased for investment intent and were “restricted securities” for purposes of the Securities Act, and agreed to transfer such securities only in a transaction registered under the Securities Act or exempt from registration under the Securities Act and (e) a legend has been, or will be, placed on the certificates representing each such security stating that it was restricted and could only be transferred if subsequently registered under the Securities Act or transferred in a transaction exempt from registration under the Securities Act.


ITEM 8.01

OTHER EVENTS


On November 17, 2011, VolitionRX Limited, a Delaware corporation (the “Company”) adopted and approved the 2011 Equity Incentive Plan (the “Plan”), for the directors, officers, employees and key consultants of the Company.  Pursuant to the Plan, the Company is authorized to issue nine hundred thousand (900,000) restricted shares, $0.001 par value, of the Company’s Common Stock.  


The foregoing summary description of the terms of the Plan may not contain all information that is of interest to the reader. For further information regarding the terms and conditions of the Plan, reference is made to such plan, which is filed as Exhibit 4.01 hereto, and is incorporated herein by reference.


ITEM 9.01

FINANCIAL STATEMENTS AND EXHIBITS


(d) Exhibits


4.01

2011 Equity Incentive Plan dated November 17, 2011

4.02

Sample Stock Option Agreement

4.03

Sample Stock Award Agreement for Restricted Stock



SIGNATURE


Pursuant to the requirements of the Securities Exchange Act of 1934, as amended, the Company has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.




  

VolitionRX Limited  

 

 

 

Date: November 17, 2011 

/s/ Cameron Reynolds             

 

  

By:  Cameron Reynolds

 

Its:  Chief Executive Officer and President

 

 




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