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AIXC

FF EAI Robotics Ecosystem Inc.

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0001460702
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113

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Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
May 22, 2020 Filed May 27, 2020 22:01 UTC OtherWarrant (Right to Buy) · Derivative 8,857 Not disclosed Strike: $2.54 Not disclosed
Disclosure

SEC source: 0001493152-20-009957 · ownership.xml · derivative · entry 1

Kruger Kurt H · CIK 0001375881 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,857

Underlying: Common Stock · 8,857 shares

Expires 2027-06-26

F1 · security: On May 22, 2020, a reverse merger transaction between the Issuer and Qualigen, Inc. ("Qualigen") was consummated such that Qualigen became a wholly-owned subsidiary of the Issuer (the "Merger"). Pursuant to and effective as of the closing of the Merger (the "Closing"), the Reporting Person became a director of the Issuer.

F2 · security: Immediately prior to the Closing, the Reporting Person held Qualigen Series C convertible preferred stock warrants. Pursuant to the Merger, the Qualigen Series C convertible preferred stock warrants previously held by the Reporting Person were assumed by the Issuer and may be exercised solely for shares of common stock of the Issuer.

F2 · price: Immediately prior to the Closing, the Reporting Person held Qualigen Series C convertible preferred stock warrants. Pursuant to the Merger, the Qualigen Series C convertible preferred stock warrants previously held by the Reporting Person were assumed by the Issuer and may be exercised solely for shares of common stock of the Issuer.

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May 18, 2020 Filed May 19, 2020 19:44 UTC
Ritter Ira E.Director · COB, CSO
GrantNon-qualified Stock Option (Right to Buy) · Derivative 361,502 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001493152-20-009407 · ownership.xml · derivative · entry 1

Ritter Ira E. · CIK 0001631674 · Director · COB, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 361,502

Underlying: Common Stock · 361,502 shares

Expires 2024-05-18

Read SEC document
May 18, 2020 Filed May 19, 2020 19:43 UTC
Beck John WChief Financial Officer
GrantNon-qualified Stock Option (Right to Buy) · Derivative 221,566 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001493152-20-009406 · ownership.xml · derivative · entry 1

Beck John W · CIK 0001292404 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 221,566

Underlying: Common Stock · 221,566 shares

Expires 2024-05-18

Read SEC document
May 18, 2020 Filed May 19, 2020 19:42 UTC
Ritter Andrew JDirector · CEO and President
GrantNon-qualified Stock Option (Right to Buy) · Derivative 583,068 $0.00 Strike: $0.64 $0.00
Disclosure

SEC source: 0001493152-20-009405 · ownership.xml · derivative · entry 1

Ritter Andrew J · CIK 0001631671 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 583,068

Underlying: Common Stock · 583,068 shares

Expires 2024-05-18

Read SEC document
April 10, 2020 Filed Apr 23, 2020 20:15 UTC Disposition to issuerWarrant Shares (right to buy) · Derivative 38,461 Not disclosed Strike: $1.30 Not disclosed
Disclosure

SEC source: 0001382963-20-000084 · edgar.xml · derivative · entry 4

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 38,461 shares

Expires 2023-11-05

F2 · shares: The Reporting Person disposed of warrants to purchase 38,461 shares of the Issuer's common stock in exchange for 38,461 shares of the Issuer's common stock pursuant to an exchange agreement with the Issuer in reliance on Section 3(a)(9) of the Securities Act of 1933, as amended.

F2 · price: The Reporting Person disposed of warrants to purchase 38,461 shares of the Issuer's common stock in exchange for 38,461 shares of the Issuer's common stock pursuant to an exchange agreement with the Issuer in reliance on Section 3(a)(9) of the Securities Act of 1933, as amended.

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April 10, 2020 Filed Apr 23, 2020 20:15 UTC GrantCommon Stock 38,461 $0.00 $0.00
Disclosure

SEC source: 0001382963-20-000084 · edgar.xml · nonDerivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,635

F2 · shares: The Reporting Person disposed of warrants to purchase 38,461 shares of the Issuer's common stock in exchange for 38,461 shares of the Issuer's common stock pursuant to an exchange agreement with the Issuer in reliance on Section 3(a)(9) of the Securities Act of 1933, as amended.

Read SEC document
March 12, 2020 Filed Mar 16, 2020 21:53 UTC
Doyle NoahDirector
SaleCommon Stock 500,000 $0.22 $110,000.00
Disclosure

SEC source: 0001209191-20-019349 · doc4.xml · nonDerivative · entry 1

Doyle Noah · CIK 0001631673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Javelin Partners, L.P.

Disclosed balance after: 704,780

F1 · price: The Reporting Person sold the securities in open market transactions at prices ranging from $0.22 to $0.23 per share, with a weighted average sale price of $0.22 per share. The Reporting Person undertakes to provide, upon request by the SEC staff, the issuer or a securityholder of the issuer, full information regarding the number of shares sold at each separate price.

F2 · ownership.nature: As the managing director of Javelin Partners, L.P., the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

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March 04, 2020 Filed Mar 13, 2020 22:26 UTC
Ritter Ira E.Director · COB, CSO
SaleCommon Stock 18,750 $0.38 $7,042.50
Disclosure

SEC source: 0001382963-20-000032 · edgar.xml · nonDerivative · entry 1

Ritter Ira E. · CIK 0001631674 · Director · COB, CSO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Stonehenge Partners LLC

Disclosed balance after: 81,727

F1 · ownership.nature: As a managing partner of Stonehenge Partners LLC, the Reporting Person may be deemed the beneficial owner of these shares. The Reporting Person expressly disclaims beneficial ownership over these shares except to the extent of his pecuniary interest therein.

Read SEC document
March 04, 2020 Filed Mar 13, 2020 22:13 UTC
Ritter Andrew JDirector · CEO and President
SaleCommon Stock 18,750 $0.38 $7,042.50
Disclosure

SEC source: 0001382963-20-000030 · edgar.xml · nonDerivative · entry 1

Ritter Andrew J · CIK 0001631671 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Indirect · By Stonehenge Partners LLC

Disclosed balance after: 81,727

F1 · ownership.nature: As a managing partner of Stonehenge Partners LLC, the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

Read SEC document
February 25, 2020 Filed Feb 28, 2020 02:00 UTC
Doyle NoahDirector
Exercise / conversionWarrants (right to buy) · Derivative 500,000 $0.00 Strike: $0.15 $0.00
Disclosure

SEC source: 0001209191-20-013620 · doc4.xml · derivative · entry 4

Doyle Noah · CIK 0001631673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Javelin Partners, L.P.

Disclosed balance after: 0

Underlying: Common Stock · 500,000 shares

Expires 2022-10-03

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_price: As a result of the Stock Split and dilutive issuances of securities after the issuance of the warrants, the exercise price was adjusted to $0.15 per share.

F2 · ownership.nature: As the managing director of Javelin Partners, L.P., the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

Read SEC document
February 25, 2020 Filed Feb 28, 2020 02:00 UTC
Doyle NoahDirector
Exercise / conversionCommon Stock 500,000 $0.15 $75,000.00
Disclosure

SEC source: 0001209191-20-013620 · doc4.xml · nonDerivative · entry 1

Doyle Noah · CIK 0001631673 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Javelin Partners, L.P.

Disclosed balance after: 1,204,780

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: On March 23, 2018, the Issuer effected a 1-for-10 reverse stock split of the Issuer's common stock (the "Stock Split"). All share numbers and warrant exercise prices in this Form 4 reflect the Stock Split.

F2 · ownership.nature: As the managing director of Javelin Partners, L.P., the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

Read SEC document
January 21, 2020 Filed Apr 23, 2020 20:15 UTC ConversionSeries B convertible preferred stock · Derivative 100 $0.00 Strike: $1.30 $0.00
Disclosure

SEC source: 0001382963-20-000084 · edgar.xml · derivative · entry 3

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 76,923 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Reporting Person converted 100 shares of Series B convertible preferred stock on January 21, 2020, at a conversion price of $1.30 per share, resulting in his acquisition of 76,923 shares of common stock. The Series B convertible preferred stock had a stated value of $1,000 per share, was convertible at any time, and had no expiration date.

F1 · derivative.exercise_date: The Reporting Person converted 100 shares of Series B convertible preferred stock on January 21, 2020, at a conversion price of $1.30 per share, resulting in his acquisition of 76,923 shares of common stock. The Series B convertible preferred stock had a stated value of $1,000 per share, was convertible at any time, and had no expiration date.

F1 · derivative.expiration_date: The Reporting Person converted 100 shares of Series B convertible preferred stock on January 21, 2020, at a conversion price of $1.30 per share, resulting in his acquisition of 76,923 shares of common stock. The Series B convertible preferred stock had a stated value of $1,000 per share, was convertible at any time, and had no expiration date.

Read SEC document
January 21, 2020 Filed Apr 23, 2020 20:15 UTC ConversionCommon Stock 76,923 $0.00 $0.00
Disclosure

SEC source: 0001382963-20-000084 · edgar.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,174

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · shares: The Reporting Person converted 100 shares of Series B convertible preferred stock on January 21, 2020, at a conversion price of $1.30 per share, resulting in his acquisition of 76,923 shares of common stock. The Series B convertible preferred stock had a stated value of $1,000 per share, was convertible at any time, and had no expiration date.

Read SEC document
January 15, 2020 Filed Jan 17, 2020 23:16 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 12,000 $0.00 Strike: $0.23 $0.00
Disclosure

SEC source: 0001382963-20-000013 · edgar.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-01-15

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full.

Read SEC document
January 15, 2020 Filed Jan 17, 2020 23:13 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 12,000 $0.00 Strike: $0.23 $0.00
Disclosure

SEC source: 0001382963-20-000012 · edgar.xml · derivative · entry 1

Merino William M. · CIK 0001696626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-01-15

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full.

Read SEC document
January 15, 2020 Filed Jan 17, 2020 23:06 UTC
MAIER PAUL VDirector
GrantNon-qualified Stock Option (Right to Buy) · Derivative 12,000 $0.00 Strike: $0.23 $0.00
Disclosure

SEC source: 0001382963-20-000010 · edgar.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-01-15

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments begining on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full.

Read SEC document
January 15, 2020 Filed Jan 17, 2020 23:01 UTC
Doyle NoahDirector · 10% owner
GrantNon-qualified Stock Option (right to buy) · Derivative 12,000 $0.00 Strike: $0.23 $0.00
Disclosure

SEC source: 0001382963-20-000008 · edgar.xml · derivative · entry 1

Doyle Noah · CIK 0001631673 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,000

Underlying: Common Stock · 12,000 shares

Expires 2030-01-15

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 15, 2020 with the balance vesting on the 15th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 20:56 UTC
Ritter Andrew JDirector · CEO and President
GrantNon-qualified Stock Option (Right to Buy) · Derivative 252,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000009 · edgar.xml · derivative · entry 1

Ritter Andrew J · CIK 0001631671 · Director · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 252,000

Underlying: Common Stock · 252,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month therafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:27 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000022 · edgar.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:23 UTC
Doyle NoahDirector · 10% owner
GrantNon-qualified Stock Option (right to buy) · Derivative 15,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000020 · edgar.xml · derivative · entry 1

Doyle Noah · CIK 0001631673 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:20 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000018 · edgar.xml · derivative · entry 1

Merino William M. · CIK 0001696626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:18 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000017 · edgar.xml · derivative · entry 1

Merino William M. · CIK 0001696626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:09 UTC
Beck John WChief Financial Officer
GrantNon-qualified Stock Option (Right to Buy) · Derivative 105,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000013 · edgar.xml · derivative · entry 1

Beck John W · CIK 0001292404 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 105,000

Underlying: Common Stock · 105,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month therafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:13 UTC
MAIER PAUL VDirector
GrantNon-qualified Stock Option (Right to Buy) · Derivative 15,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000015 · edgar.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 15,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments begining on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
February 06, 2019 Filed Feb 8, 2019 21:04 UTC
Ritter Ira E.Director · COB, CSO
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 200,000 $0.00 Strike: $0.60 $0.00
Disclosure

SEC source: 0001382963-19-000011 · edgar.xml · derivative · entry 1

Ritter Ira E. · CIK 0001631674 · Director · COB, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2029-02-06

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on March 6, 2019 with the balance vesting on the 6th day of each calendar month thereafter until vested in full.

Read SEC document
November 05, 2018 Filed Nov 7, 2018 23:24 UTC PurchaseWarrant Shares (right to buy) · Derivative 38,461 Not disclosed Strike: $1.30 Not disclosed
Disclosure

SEC source: 0001382963-18-000144 · edgar.xml · derivative · entry 2

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,461

Underlying: Common Stock · 38,461 shares

Expires 2023-11-05

F2 · price: The Reporting Person purchased the shares of Series B convertible preferred stock (the "Series B Shares") from the Issuer in a private placement by the Issuer at a stated price of $1,000 per share and received, in addition to the Series B Shares, a warrant to purchase a number of shares of common stock equal to 50% of the aggregate number of shares of common stock into which his Series B Shares are initally convertible, for no additional consideration.

Read SEC document
November 05, 2018 Filed Nov 7, 2018 23:24 UTC PurchaseSeries B convertible preferred stock · Derivative 100 Not disclosed Strike: $1.30 Not disclosed
Disclosure

SEC source: 0001382963-18-000144 · edgar.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100

Underlying: Common Stock · 76,923 shares

Expires not disclosed

F2 · price: The Reporting Person purchased the shares of Series B convertible preferred stock (the "Series B Shares") from the Issuer in a private placement by the Issuer at a stated price of $1,000 per share and received, in addition to the Series B Shares, a warrant to purchase a number of shares of common stock equal to 50% of the aggregate number of shares of common stock into which his Series B Shares are initally convertible, for no additional consideration.

F1 · derivative.expiration_date: The Series B convertible preferred stock has no expiration date.

Read SEC document
August 17, 2018 Filed Aug 20, 2018 21:19 UTC PurchaseCommon Stock 19,751 $2.04 $40,292.04
Disclosure

SEC source: 0001382963-18-000125 · edgar.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 54,751

Read SEC document
August 17, 2018 Filed Sep 19, 2018 18:19 UTC Amendment PurchaseCommon Stock 19,751 $2.04 $40,292.04
Disclosure

SEC source: 0001382963-18-000131 · edgar.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 23,251

F1 · balance_after: The previous Form 4 filed on August 20, 2018 did not reflect the Issuer's recent reverse stock split and inadvertently overstated the amount of securities beneficially owned by the Reporting Person following the reported transaction. The number included here has been updated to reflect such reverse stock split.

Read SEC document
June 26, 2018 Filed Jun 28, 2018 00:05 UTC
Ritter Andrew JCEO and President
GrantNon-qualified Stock Option (Right to Buy) · Derivative 150,000 $0.00 Strike: $2.73 $0.00
Disclosure

SEC source: 0001382963-18-000109 · edgar.xml · derivative · entry 1

Ritter Andrew J · CIK 0001631671 · CEO and President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,000

Underlying: Common Stock · 150,000 shares

Expires 2028-06-26

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on July 26, 2018 with the balance vesting on the 26th day of each calendar month therafter until vested in full.

Read SEC document
May 23, 2018 Filed May 25, 2018 21:25 UTC
Beck John WChief Financial Officer
GrantNon-qualified Stock Option (Right to Buy) · Derivative 100,000 $0.00 Strike: $3.32 $0.00
Disclosure

SEC source: 0001382963-18-000106 · edgar.xml · derivative · entry 1

Beck John W · CIK 0001292404 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2028-05-23

F1 · derivative.exercise_date: 25% of the shares underlying the option will vest on May 24, 2019. The remaining 75% of the shares underlying the option will vest in 36 equal installments beginning on the 24th day of each calendar month following May 24, 2019.

Read SEC document
January 23, 2018 Filed Jan 26, 2018 02:31 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000023 · edgar.xml · derivative · entry 1

PROEHL GERALD T · CIK 0001279191 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

Read SEC document
January 23, 2018 Filed Jan 26, 2018 02:25 UTC
Doyle NoahDirector · 10% owner
GrantNon-qualified Stock Option (right to buy) · Derivative 30,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000021 · edgar.xml · derivative · entry 1

Doyle Noah · CIK 0001631673 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

Read SEC document
January 23, 2018 Filed Jan 26, 2018 02:18 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000017 · edgar.xml · derivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

Read SEC document
January 23, 2018 Filed Jan 26, 2018 02:23 UTC
MAIER PAUL VDirector
GrantNon-qualified Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000019 · edgar.xml · derivative · entry 1

MAIER PAUL V · CIK 0001182615 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2018-01-23

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments begining on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

Read SEC document
January 23, 2018 Filed Jan 26, 2018 02:15 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 30,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000015 · edgar.xml · derivative · entry 1

Merino William M. · CIK 0001696626 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,000

Underlying: Common Stock · 30,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in twelve (12) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

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January 23, 2018 Filed Jan 26, 2018 02:10 UTC
Step Michael DDirector · CEO
GrantNon-qualified Stock Option (Right to Buy) · Derivative 495,065 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000013 · edgar.xml · derivative · entry 1

Step Michael D · CIK 0001316386 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,065

Underlying: Common Stock · 495,065 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

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January 23, 2018 Filed Jan 26, 2018 02:05 UTC GrantNon-qualified Stock Option (Right to Buy) · Derivative 495,065 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000011 · edgar.xml · derivative · entry 1

Ritter Andrew J · CIK 0001631671 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,065

Underlying: Common Stock · 495,065 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

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January 23, 2018 Filed Jan 26, 2018 02:00 UTC
Ritter Ira E.Director · Exec. Chairman, CSO
GrantNon-Qualified Stock Option (Right to Buy) · Derivative 495,065 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000009 · edgar.xml · derivative · entry 1

Ritter Ira E. · CIK 0001631674 · Director · Exec. Chairman, CSO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 495,065

Underlying: Common Stock · 495,065 shares

Expires 2028-01-23

F1 · derivative.exercise_date: The option vests in forty-eight (48) equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter until vested in full.

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January 23, 2018 Filed Jan 26, 2018 01:57 UTC
Benjamin Jeffrey SVP of Finance
GrantNon-qualified Stock Option (right to buy) · Derivative 124,000 $0.00 Strike: $0.34 $0.00
Disclosure

SEC source: 0001382963-18-000007 · edgar.xml · derivative · entry 1

Benjamin Jeffrey S · CIK 0001308965 · VP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 124,000

Underlying: Common Stock · 124,000 shares

Expires 2028-01-23

F1 · derivative.exercise_date: 25% of the shares underlying the option were vested as of the grant date. The remaining 75% of the shares underlying the option will vest in 36 equal monthly installments beginning on February 23, 2018 with the balance vesting on the 23rd day of each calendar month thereafter.

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October 03, 2017 Filed Oct 27, 2017 13:49 UTC PurchaseWarrants (right to buy) · Derivative 5,000,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001382963-17-000166 · edgar.xml · derivative · entry 2

Javelin Venture Partners, L.P. · CIK 0001493269 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000,000

Underlying: Common Stock · 5,000,000 shares

Expires 2022-10-03

F1 · shares: The Reporting Person purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to the Reporting Person in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: The Reporting Person purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to the Reporting Person in the puble offering were immediately separable and were issued separately in the offering.

F1 · derivative.underlying_shares: The Reporting Person purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to the Reporting Person in the puble offering were immediately separable and were issued separately in the offering.

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October 03, 2017 Filed Oct 27, 2017 13:49 UTC PurchaseCommon Stock 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001382963-17-000166 · edgar.xml · nonDerivative · entry 1

Javelin Venture Partners, L.P. · CIK 0001493269 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,047,804

F1 · shares: The Reporting Person purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to the Reporting Person in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: The Reporting Person purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to the Reporting Person in the puble offering were immediately separable and were issued separately in the offering.

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October 03, 2017 Filed Oct 27, 2017 18:00 UTC
Ritter Andrew JPresident · 10% owner
PurchaseWarrants (Right to Buy) · Derivative 187,500 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001382963-17-000172 · edgar.xml · derivative · entry 3

Ritter Andrew J · CIK 0001631671 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Stonehenge Partners LLC

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2022-10-03

F1 · shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the public offering were immediately separable and were issued separately in the offering.

F1 · price: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the public offering were immediately separable and were issued separately in the offering.

F1 · derivative.underlying_shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the public offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As a managing partner of Stonehenge, the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

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October 03, 2017 Filed Oct 27, 2017 18:00 UTC
Ritter Andrew JPresident · 10% owner
PurchaseCommon Stock 187,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001382963-17-000172 · edgar.xml · nonDerivative · entry 1

Ritter Andrew J · CIK 0001631671 · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Stonehenge Partners LLC

Disclosed balance after: 1,004,772

F1 · shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the public offering were immediately separable and were issued separately in the offering.

F1 · price: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the public offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As a managing partner of Stonehenge, the Reporting Person may be deemed the beneficial owner of these securities. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

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October 03, 2017 Filed Oct 27, 2017 17:53 UTC
Doyle NoahDirector · 10% owner
PurchaseWarrants (right to buy) · Derivative 5,000,000 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001382963-17-000168 · edgar.xml · derivative · entry 4

Doyle Noah · CIK 0001631673 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Javelin Venture Partners, L.P.

Disclosed balance after: 5,000,000

Underlying: Common Stock · 5,000,000 shares

Expires 2022-10-03

F1 · shares: Javelin Venture Partners, L.P. ("Javelin") purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Javelin in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: Javelin Venture Partners, L.P. ("Javelin") purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Javelin in the puble offering were immediately separable and were issued separately in the offering.

F1 · derivative.underlying_shares: Javelin Venture Partners, L.P. ("Javelin") purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Javelin in the puble offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As the managing director of Javelin, the Reporting Person may be deemed the beneficial owner of the securities sold to Javelin in the public offering. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

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October 03, 2017 Filed Oct 27, 2017 17:53 UTC
Doyle NoahDirector · 10% owner
PurchaseCommon Stock 5,000,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001382963-17-000168 · edgar.xml · nonDerivative · entry 1

Doyle Noah · CIK 0001631673 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Javelin Venture Partners, L.P.

Disclosed balance after: 7,047,804

F1 · shares: Javelin Venture Partners, L.P. ("Javelin") purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Javelin in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: Javelin Venture Partners, L.P. ("Javelin") purchased 5,000,000 Class A Units of the Issuer, consisting of 5,000,000 shares of common stock and warrants to purchase 5,000,000 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Javelin in the puble offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As the managing director of Javelin, the Reporting Person may be deemed the beneficial owner of the securities sold to Javelin in the public offering. The Reporting Person expressly disclaims beneficial ownership over these securities except to the extent of his pecuniary interest therein.

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October 03, 2017 Filed Oct 27, 2017 17:57 UTC
Ritter Ira E.Director · Exec. Chairman, CSO · 10% owner
PurchaseWarrants (right to buy) · Derivative 187,500 $0.00 Strike: $0.44 $0.00
Disclosure

SEC source: 0001382963-17-000170 · edgar.xml · derivative · entry 3

Ritter Ira E. · CIK 0001631674 · Director · Exec. Chairman, CSO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Stonehenge Partners LLC

Disclosed balance after: 187,500

Underlying: Common Stock · 187,500 shares

Expires 2022-10-03

F1 · shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the puble offering were immediately separable and were issued separately in the offering.

F1 · derivative.underlying_shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the puble offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As a managing partner of Stonehenge the Reporting Person may be deemed the beneficial owner of these shares. The Reporting Person expressly disclaims beneficial ownership over these shares except to the extent of his pecuniary interest therein.

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October 03, 2017 Filed Oct 27, 2017 17:57 UTC
Ritter Ira E.Director · Exec. Chairman, CSO · 10% owner
PurchaseCommon Stock 187,500 Not disclosed Not disclosed
Disclosure

SEC source: 0001382963-17-000170 · edgar.xml · nonDerivative · entry 1

Ritter Ira E. · CIK 0001631674 · Director · Exec. Chairman, CSO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · by Stonehenge Partners LLC

Disclosed balance after: 1,004,772

F1 · shares: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the puble offering were immediately separable and were issued separately in the offering.

F1 · price: Stonehenge Partners LLC ("Stonehenge") purchased 187,500 Class A Units of the Issuer, consisting of 187,500 shares of common stock and warrants to purchase 187,500 shares of common stock, in the Issuer's October 2017 public offering at the public offering price of $0.40 per Class A Unit. The shares of common stock and warrants that are part of the Class A Units sold to Stonehenge in the puble offering were immediately separable and were issued separately in the offering.

F2 · ownership.nature: As a managing partner of Stonehenge the Reporting Person may be deemed the beneficial owner of these shares. The Reporting Person expressly disclaims beneficial ownership over these shares except to the extent of his pecuniary interest therein.

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May 18, 2017 Filed May 18, 2017 19:39 UTC PurchaseCommon Stock 18,000 $0.62 $11,154.60
Disclosure

SEC source: 0001382963-17-000085 · edgar.xml · nonDerivative · entry 1

FOEHR MATTHEW W · CIK 0001237556 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 35,000

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May 11, 2017 Filed May 12, 2017 20:38 UTC
Step Michael DDirector · CEO
PurchaseCommon Stock 13,000 $0.62 $8,006.70
Disclosure

SEC source: 0001382963-17-000080 · edgar.xml · nonDerivative · entry 1

Step Michael D · CIK 0001316386 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Michael D. Step Family Trust

Disclosed balance after: 50,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.6102 to $0.6199, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth herein.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.