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Nasdaq · USD

BLNE

Beeline Holdings, Inc.

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7378
SEC CIK
0001534708
Parsed reports
332

Last 12 months

Inside the activity.

16 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202540
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202640
Jun 202600
Jul 202600
Aug 202640
Sep 202640
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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
October 15, 2018 Filed Oct 17, 2018 23:19 UTC GrantStock Options (right to buy) · Derivative 5,000 $0.00 Strike: $7.87 $0.00
Disclosure

SEC source: 0001249155-18-000067 · primary_doc.xml · derivative · entry 1

Saunders Shelly · CIK 0001715464 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2028-10-15

F1 · derivative.exercise_date: The options are immediately exercisable.

Read SEC document
September 13, 2018 Filed Sep 13, 2018 17:31 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board and CEO
SaleCommon Stock 50,000 $7.75 $387,500.00
Disclosure

SEC source: 0001249155-18-000057 · primary_doc.xml · nonDerivative · entry 1

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board and CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust

Disclosed balance after: 45,856

F1 · kind: The Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust), an entity for which the reporting person serves as trustee (see Footnote 2), is the owner of the securities, which shares were sold in a private transaction to an unrelated party.

F2 · ownership.nature: The reporting person is the trustee of the Irrevocable Trust. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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September 10, 2018 Filed Sep 10, 2018 22:23 UTC
Shum SteveChief Financial Officer
SaleCommon Stock 2,000 $7.50 $15,007.20
Disclosure

SEC source: 0001249155-18-000055 · primary_doc.xml · nonDerivative · entry 3

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 27,896

F3 · price: The transaction was executed in multiple trades at prices ranging from $7.50 to $7.52. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request from the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all of the sales that make up this transaction.

Read SEC document
September 10, 2018 Filed Sep 12, 2018 18:30 UTC OtherCommon Stock 65,541 $7.50 $491,557.50
Disclosure

SEC source: 0001249155-18-000056 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 658,070

F1 · kind: Glenbrook Capital LP ("GBLP") distributed the 65,541 shares of the Issuer's common stock to a passive limited partner as a liquidating distribution of a portion of that limited partner's partnership interest.

F2 · ownership.direct: GBLP is the direct beneficial owner of the shares of common stock reported on this Form 4. However, the shares reported on Table I as owned directly are deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that GCM is the beneficial owner of the securities described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
September 07, 2018 Filed Sep 10, 2018 22:23 UTC
Shum SteveChief Financial Officer
SaleCommon Stock 4,038 $7.60 $30,692.43
Disclosure

SEC source: 0001249155-18-000055 · primary_doc.xml · nonDerivative · entry 2

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,896

F2 · price: The transaction was executed in multiple trades at prices ranging from $7.50 to $7.70. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request from the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all of the sales that make up this transaction.

Read SEC document
September 06, 2018 Filed Sep 10, 2018 22:23 UTC
Shum SteveChief Financial Officer
SaleCommon Stock 5,566 $7.46 $41,547.41
Disclosure

SEC source: 0001249155-18-000055 · primary_doc.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,934

F1 · price: The transaction was executed in multiple trades at prices ranging from $7.45 to $7.50. The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request from the Securities and Exchange Commission ("SEC") staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all of the sales that make up this transaction.

Read SEC document
September 05, 2018 Filed Sep 5, 2018 22:45 UTC SaleCommon Stock Purchase Warrants (right to buy) · Derivative 200 $2.02 Strike: $5.40 $404.00
Disclosure

SEC source: 0001249155-18-000054 · primary_doc.xml · derivative · entry 2

DAVIS TRENT D · CIK 0001217815 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 200 shares

Expires 2022-08-10

Read SEC document
August 31, 2018 Filed Sep 5, 2018 22:45 UTC SaleCommon Stock Purchase Warrants (right to buy) · Derivative 4,800 $1.98 Strike: $5.40 $9,506.88
Disclosure

SEC source: 0001249155-18-000054 · primary_doc.xml · derivative · entry 1

DAVIS TRENT D · CIK 0001217815 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200

Underlying: Common Stock · 4,800 shares

Expires 2022-08-10

F1 · price: This transaction was executed in multiple trades at prices ranging from $1.922308 to $2.0052. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff, the Issuer or a security holder of the Issuer, full information regarding the number of warrants sold at each separate price for all transactions reported on this Form 4.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 18:28 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Exercise / conversionRestricted Stock Units · Derivative 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000049 · primary_doc.xml · derivative · entry 7

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,098 shares

Expires 2018-08-22

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.

F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35.

F7 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 18:28 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
GrantRestricted Stock Units · Derivative 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000049 · primary_doc.xml · derivative · entry 6

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,098

Underlying: Common Stock · 14,098 shares

Expires 2018-08-22

F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35.

F7 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant.

F7 · derivative.expiration_date: All 14,098 RSUs vested immediately upon grant.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 18:28 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Tax withholdingCommon Stock 5,598 $7.35 $41,145.30
Disclosure

SEC source: 0001249155-18-000049 · primary_doc.xml · nonDerivative · entry 2

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,037

F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 5,598 shares of common stock that vested on August 22, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 18:28 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Exercise / conversionCommon Stock 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000049 · primary_doc.xml · nonDerivative · entry 1

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 152,635

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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on August 22, 2018.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 21:55 UTC
Shum SteveChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000047 · primary_doc.xml · derivative · entry 5

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 14,098 shares

Expires 2018-08-22

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.

F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35.

F4 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant.

F4 · derivative.expiration_date: All 14,098 RSUs vested immediately upon grant.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 21:55 UTC
Shum SteveChief Financial Officer
GrantRestricted Stock Units · Derivative 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000047 · primary_doc.xml · derivative · entry 4

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 14,098

Underlying: Common Stock · 14,098 shares

Expires 2018-08-22

F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35.

F4 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant.

F4 · derivative.expiration_date: All 14,098 RSUs vested immediately upon grant.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 21:55 UTC
Shum SteveChief Financial Officer
Tax withholdingCommon Stock 5,598 $7.35 $41,145.30
Disclosure

SEC source: 0001249155-18-000047 · primary_doc.xml · nonDerivative · entry 3

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,500

F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 5,598 shares of common stock that vested on August 22, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs.

Read SEC document
August 22, 2018 Filed Aug 24, 2018 21:55 UTC
Shum SteveChief Financial Officer
Exercise / conversionCommon Stock 14,098 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000047 · primary_doc.xml · nonDerivative · entry 2

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 45,098

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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on August 22, 2018.

Read SEC document
August 11, 2018 Filed Aug 24, 2018 18:06 UTC OtherCommon Stock Purchase Warrants (right to buy) · Derivative 42,000 $0.00 Strike: $3.50 $0.00
Disclosure

SEC source: 0001249155-18-000048 · primary_doc.xml · derivative · entry 3

Peterson Jack N · CIK 0001715500 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sandstrom Partners, Inc.

Disclosed balance after: 0

Underlying: Common Stock · 42,000 shares

Expires 2018-08-11

F2 · ownership.nature: The reporting person is the President, a director and a principal shareholder of Sandstrom Partners, Inc. He disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 11, 2018 Filed Aug 24, 2018 18:06 UTC OtherCommon Stock 42,000 $3.50 $147,000.00
Disclosure

SEC source: 0001249155-18-000048 · primary_doc.xml · nonDerivative · entry 1

Peterson Jack N · CIK 0001715500 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · By Sandstrom Partners, Inc.

Disclosed balance after: 83,359

F1 · price: The consideration for the exercise of the warrants was services rendered to the Issuer.

F2 · ownership.nature: The reporting person is the President, a director and a principal shareholder of Sandstrom Partners, Inc. He disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose.

Read SEC document
August 09, 2018 Filed Aug 9, 2018 17:39 UTC OtherCommon Stock Purchase Warrant (right to buy) · Derivative 60,726 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000044 · primary_doc.xml · derivative · entry 2

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 60,726 shares

Expires 2022-08-10

F2 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50.

F1 · ownership.direct: Glenbrook Capital, LP ("GBLP") is the direct beneficial owner of the securities. However, the shares in Table I and the warrants in Table II may be deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed to be an admission that GCM is the beneficial owner of the securities described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 09, 2018 Filed Aug 9, 2018 17:39 UTC OtherCommon Stock 60,726 $5.40 $327,920.40
Disclosure

SEC source: 0001249155-18-000044 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 723,611

F1 · balance_after: Glenbrook Capital, LP ("GBLP") is the direct beneficial owner of the securities. However, the shares in Table I and the warrants in Table II may be deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed to be an admission that GCM is the beneficial owner of the securities described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

F1 · ownership.direct: Glenbrook Capital, LP ("GBLP") is the direct beneficial owner of the securities. However, the shares in Table I and the warrants in Table II may be deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed to be an admission that GCM is the beneficial owner of the securities described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock Purchase Warrants (right to buy) · Derivative 11,111 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 10

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 11,111 shares

Expires 2022-08-10

F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50.

F4 · ownership.nature: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock Purchase Warrants (right to buy) · Derivative 37,975 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 9

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Employees' Profit Sharing Plan

Disclosed balance after: 0

Underlying: Common Stock · 37,975 shares

Expires 2022-08-10

F7 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants.

F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock Purchase Warrants (right to buy) · Derivative 22,222 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 8

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Employees' Profit Sharing Plan

Disclosed balance after: 0

Underlying: Common Stock · 22,222 shares

Expires 2022-08-10

F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50.

F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock Purchase Warrants (right to buy) · Derivative 17,930 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 7

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Charitable Remainder Trust

Disclosed balance after: 0

Underlying: Common Stock · 17,930 shares

Expires 2022-08-10

F7 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants.

F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock Purchase Warrants (right to buy) · Derivative 22,222 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 6

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 22,222 shares

Expires 2022-08-10

F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock 11,111 $5.40 $59,999.40
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 5

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Irrevocable Trust

Disclosed balance after: 95,856

F5 · balance_after: Takes into account the correction of a typographical error in the Form 4 filed on August 10, 2017. The total after transaction holdings on August 10, 2017 should have been 84,745 shares. All subsequent Form 4s have carried forward this typographical error, until corrected on this Form 4.

F4 · ownership.nature: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock 37,975 $5.40 $205,065.00
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 4

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Employees' Profit Sharing Plan

Disclosed balance after: 238,727

F1 · price: The warrant exercise price was paid by a reduction in the amount of promissory note indebtedness under notes owned by the warrant holder, such reduction equal to the number of warrants exercised multiplied by the $5.40 exercise price.

F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock 22,222 $5.40 $119,998.80
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 3

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Employees' Profit Sharing Plan

Disclosed balance after: 200,752

F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document
August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock 17,930 $5.40 $96,822.00
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 2

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Charitable Remainder Trust

Disclosed balance after: 60,370

F1 · price: The warrant exercise price was paid by a reduction in the amount of promissory note indebtedness under notes owned by the warrant holder, such reduction equal to the number of warrants exercised multiplied by the $5.40 exercise price.

F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

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August 09, 2018 Filed Aug 13, 2018 16:57 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
OtherCommon Stock 22,222 $5.40 $119,998.80
Disclosure

SEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 1

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,537

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July 06, 2018 Filed Jul 10, 2018 16:34 UTC Conversion5% Convertible Note Due 2020 · Derivative Not disclosed $400,000.00 Strike: $6.00 $400,000.00
Disclosure

SEC source: 0001249155-18-000041 · primary_doc.xml · derivative · entry 2

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: Not disclosed

Underlying: Common Stock · 70,000 shares

Expires 2020-06-30

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 · kind: Shares were issued upon conversion of a 5% convertible promissory note due 2020 in the principal amount of $400,000, plus $20,000 in accrued interest.

F3 · derivative.underlying_shares: Includes conversion of $400,000 in principal and $20,000 of accrued interest, at $6.00 per share.

F2 · ownership.direct: Glenbrook Capital, LP ("GBLP") is the direct beneficial owner of the securities reported herein. However, these securities may also be deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
July 06, 2018 Filed Jul 10, 2018 16:34 UTC ConversionCommon Stock 70,000 $6.00 $420,000.00
Disclosure

SEC source: 0001249155-18-000041 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 662,885

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 · kind: Shares were issued upon conversion of a 5% convertible promissory note due 2020 in the principal amount of $400,000, plus $20,000 in accrued interest.

F2 · ownership.direct: Glenbrook Capital, LP ("GBLP") is the direct beneficial owner of the securities reported herein. However, these securities may also be deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such securities, except to the extent of its pecuniary interest therein, if any. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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June 26, 2018 Filed Jun 26, 2018 19:01 UTC PurchaseCommon Stock 17,189 $8.53 $146,574.04
Disclosure

SEC source: 0001249155-18-000036 · primary_doc.xml · nonDerivative · entry 3

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 592,885

F2 · price: The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

F3 · price: This transaction was executed in multiple trades at prices ranging from $8.25 to $9.00.

F4 · ownership.direct: Glenbrook Capital LP ("GBLP") is the direct beneficial owner of the shares of common stock. However, these shares are deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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June 25, 2018 Filed Jun 26, 2018 19:01 UTC PurchaseCommon Stock 8,047 $8.65 $69,628.28
Disclosure

SEC source: 0001249155-18-000036 · primary_doc.xml · nonDerivative · entry 2

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 575,696

F1 · price: This transaction was executed in multiple trades at prices ranging from $8.2533 to $8.88.

F2 · price: The price reported reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

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June 22, 2018 Filed Jun 26, 2018 19:01 UTC PurchaseCommon Stock 3,000 $9.00 $27,000.00
Disclosure

SEC source: 0001249155-18-000036 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 567,649

Read SEC document
June 21, 2018 Filed Jun 21, 2018 17:22 UTC PurchaseCommon Stock 3,000 $8.95 $26,835.00
Disclosure

SEC source: 0001249155-18-000035 · primary_doc.xml · nonDerivative · entry 3

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 564,649

F3 · price: This transaction was executed in multiple trades at prices ranging from $8.89 to $9.00. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

F4 · ownership.direct: Glenbrook Capital LP ("GBLP") is the direct beneficial owner of the shares of common stock. However, these shares are deemed to be indirectly beneficially owned by Glenbrook Capital Management ("GCM"), the general partner of GBLP. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 or for any other purpose.

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June 20, 2018 Filed Jun 21, 2018 17:22 UTC PurchaseCommon Stock 6,208 $7.88 $48,900.42
Disclosure

SEC source: 0001249155-18-000035 · primary_doc.xml · nonDerivative · entry 2

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 561,649

F2 · price: This transaction was executed in multiple trades at prices ranging from $7.70 to $7.967. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

Read SEC document
June 19, 2018 Filed Jun 21, 2018 17:22 UTC PurchaseCommon Stock 20,728 $7.46 $154,676.48
Disclosure

SEC source: 0001249155-18-000035 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 555,441

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.265 to $7.55. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission (the "SEC") staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

Read SEC document
May 22, 2018 Filed Aug 24, 2018 21:55 UTC
Shum SteveChief Financial Officer
GiftCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000047 · primary_doc.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 31,000

Read SEC document
May 15, 2018 Filed May 16, 2018 17:44 UTC PurchaseCommon Stock 1,700 $7.40 $12,575.07
Disclosure

SEC source: 0001249155-18-000032 · primary_doc.xml · nonDerivative · entry 2

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 534,713

F3 · price: This transaction was executed in multiple trades at prices ranging from $7.37 to $7.40. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

F2 · ownership.direct: Glenbrook Capital LP ("GBLP")is the direct beneficial owner of the shares of common stock. However, Glenbrook Capital Management ("GCM"), the general partner of GBLP, may be deemed to be the indirect beneficial owner of such shares. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
May 14, 2018 Filed May 16, 2018 17:44 UTC PurchaseCommon Stock 6,100 $7.44 $45,353.50
Disclosure

SEC source: 0001249155-18-000032 · primary_doc.xml · nonDerivative · entry 1

GLENBROOK CAPITAL LP · CIK 0001160520 · 10% owner

GLENBROOK CAPITAL MANAGEMENT · CIK 0001273782 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 533,013

F1 · price: This transaction was executed in multiple trades at prices ranging from $7.15 to $7.50. The price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission ("SEC") staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares sold at each separate price for all transactions reported on this Form 4.

F2 · ownership.direct: Glenbrook Capital LP ("GBLP")is the direct beneficial owner of the shares of common stock. However, Glenbrook Capital Management ("GCM"), the general partner of GBLP, may be deemed to be the indirect beneficial owner of such shares. GCM disclaims beneficial ownership of such shares except to the extent of its pecuniary interest therein. This report shall not be deemed an admission that GCM is the beneficial owner of the shares described herein for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 19:01 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000031 · primary_doc.xml · derivative · entry 7

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-04-17

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.

F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19.

F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant.

F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 19:01 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
GrantRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000031 · primary_doc.xml · derivative · entry 6

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2018-04-17

F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19.

F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant.

F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 19:01 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Tax withholdingCommon Stock 1,500 $7.19 $10,785.00
Disclosure

SEC source: 0001249155-18-000031 · primary_doc.xml · nonDerivative · entry 2

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 116,315

F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,500 shares of common stock that vested on April 17, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 19:01 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO · 10% owner
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000031 · primary_doc.xml · nonDerivative · entry 1

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 117,815

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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on April 17, 2018.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 22:29 UTC
Shum SteveChief Financial Officer
Exercise / conversionRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000030 · primary_doc.xml · derivative · entry 4

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,000 shares

Expires 2018-04-17

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.

F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19.

F4 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant.

F4 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 22:29 UTC
Shum SteveChief Financial Officer
GrantRestricted Stock Units · Derivative 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000030 · primary_doc.xml · derivative · entry 3

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,000

Underlying: Common Stock · 5,000 shares

Expires 2018-04-17

F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19.

F4 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant.

F4 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 22:29 UTC
Shum SteveChief Financial Officer
Tax withholdingCommon Stock 1,500 $7.19 $10,785.00
Disclosure

SEC source: 0001249155-18-000030 · primary_doc.xml · nonDerivative · entry 2

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,000

F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,500 shares of common stock that vested on April 17, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs.

Read SEC document
April 17, 2018 Filed Apr 18, 2018 22:29 UTC
Shum SteveChief Financial Officer
Exercise / conversionCommon Stock 5,000 $0.00 $0.00
Disclosure

SEC source: 0001249155-18-000030 · primary_doc.xml · nonDerivative · entry 1

Shum Steve · CIK 0001578898 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,500

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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on April 17, 2018.

Read SEC document
March 29, 2018 Filed Apr 3, 2018 16:03 UTC
WICKERSHAM GROVER T.Director · Chairman of the Board & CEO
PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative 37,975 Not disclosed Strike: $5.40 Not disclosed
Disclosure

SEC source: 0001249155-18-000025 · primary_doc.xml · derivative · entry 2

WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO

10b5-1 filing: Not disclosed

Ownership: Indirect · By Employee Profit Sharing Plan

Disclosed balance after: 60,197

Underlying: Common Stock · 37,975 shares

Expires 2022-08-10

F1 · kind: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants.

F1 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants.

F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.

Read SEC document

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