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BION ENVIRONMENTAL TECHNOLOGIES INC

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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
August 22, 2018 Filed Sep 4, 2018 21:46 UTC
SMITH MARK ADirector · President · 10% owner
GrantOptions (right to buy) · Derivative 75,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001567619-18-002071 · doc1.xml · derivative · entry 9

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2022-12-31

F4 · kind: These options were granted to the Reporting Person by the Board of Directors effective 8/22/2018 and carry an exercise bonus of 75 percent. After this transaction the Reporting Person owns 1,300,000 options, in aggregate, with varying terms.

Read SEC document
August 22, 2018 Filed Sep 4, 2018 21:47 UTC
SMITH MARK ADirector · President · 10% owner
GrantOptions (right to buy) · Derivative 75,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001567619-18-002074 · doc1.xml · derivative · entry 9

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,000

Underlying: Common Stock · 75,000 shares

Expires 2022-12-31

F4 · kind: These options were granted to the Reporting Person by the Board of Directors effective 8/22/2018 and carry an exercise bonus of 75 percent. After this transaction the Reporting Person owns 1,300,000 options, in aggregate, with varying terms.

Read SEC document
August 07, 2018 Filed Aug 31, 2018 20:54 UTC GiftWarrants COVWARDB7 · Derivative 80,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001567619-18-001993 · doc1.xml · derivative · entry 1

Lominy Danielle C. · CIK 0001704199 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 61,458

Underlying: Common Stock · 80,000 shares

Expires 2022-12-31

F1 · security: Each of these gifted warrants carry an exercise bonus of 75%.

Read SEC document
August 01, 2018 Filed Sep 4, 2018 21:46 UTC
SMITH MARK ADirector · President · 10% owner
PurchaseWarrants Class MASESTAUG · Derivative 300,000 $0.10 Strike: $0.75 $30,000.00
Disclosure

SEC source: 0001567619-18-002071 · doc1.xml · derivative · entry 8

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2023-06-30

F3 · security: Each of these purchased warrants carry a potential exercise bonus of 75 Percent and were purchased with a $30,000 secured promissory note which matures on July 1, 2020 and the Company is holding certain securities that the reporting person owns as collateral until the promissory note is satisfied.

Read SEC document
August 01, 2018 Filed Sep 4, 2018 21:47 UTC
SMITH MARK ADirector · President · 10% owner
PurchaseWarrants Class MASESTAUG · Derivative 300,000 $0.10 Strike: $0.75 $30,000.00
Disclosure

SEC source: 0001567619-18-002074 · doc1.xml · derivative · entry 8

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2023-06-30

F3 · security: Each of these purchased warrants carry a potential exercise bonus of 75 Percent and were purchased with a $30,000 secured promissory note which matures on July 1, 2020 and the Company is holding certain securities that the reporting person owns as collateral until the promissory note is satisfied.

Read SEC document
May 08, 2018 Filed May 14, 2018 16:41 UTC
SMITH MARK ADirector · President · 10% owner
GrantWarrants - Class CONUNITMAY · Derivative 153,540 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-023213 · doc1.xml · derivative · entry 8

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,540

Underlying: Common Stock · 153,540 shares

Expires 2020-12-31

F3 · security: Each of these warrants carry an exercise bonus of 75 Percent

Read SEC document
May 08, 2018 Filed May 14, 2018 16:41 UTC
SMITH MARK ADirector · President · 10% owner
GrantCommon Stock 140,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-023213 · doc1.xml · nonDerivative · entry 4

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Lotaylingkyur LLC

Disclosed balance after: 140,000

Read SEC document
May 08, 2018 Filed May 14, 2018 16:41 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 140,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-023213 · doc1.xml · nonDerivative · entry 3

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 325,809

F2 · kind: On May 8, 2018, Mr. Smith gifted 200,000 shares which included 140,000 to Lotaylingkyur LLC which is owned by Mr. Smith and his wife.

Read SEC document
May 08, 2018 Filed May 14, 2018 16:41 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 60,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-023213 · doc1.xml · nonDerivative · entry 2

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 465,809

F2 · kind: On May 8, 2018, Mr. Smith gifted 200,000 shares which included 140,000 to Lotaylingkyur LLC which is owned by Mr. Smith and his wife.

Read SEC document
May 08, 2018 Filed May 14, 2018 16:41 UTC
SMITH MARK ADirector · President · 10% owner
GrantCommon Stock 307,080 $0.50 $153,540.00
Disclosure

SEC source: 0001140361-18-023213 · doc1.xml · nonDerivative · entry 1

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 525,809

F1 · kind: On May 8, 2018, Mr. Smith converted his loan payable balance of $18,000, his expenses payable of $65,540 and $70,000 of deferred compensation into 307,080 units (at recent PPM price) of $.50 per unit consisting of one share of Bion common stock and 1/2 warrant.

Read SEC document
February 26, 2018 Filed Feb 28, 2018 22:52 UTC
Bassani DominicCEO · 10% owner
GiftWarrants Class CAP2017 · Derivative 200,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-010888 · doc1.xml · derivative · entry 4

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,415,000

Underlying: Common Stock · 1,415,000 shares

Expires 2020-12-31

F3 · security: Each of these gifted warrants carry an exercise bonus of 90%.

Read SEC document
February 26, 2018 Filed Feb 28, 2018 22:39 UTC GiftWarrants CAP2017 · Derivative 100,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-010884 · doc1.xml · derivative · entry 1

Lominy Danielle C. · CIK 0001704199 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2022-12-31

F1 · security: Each of these gifted warrants carry an exercise bonus of 90%.

Read SEC document
February 16, 2018 Filed Feb 28, 2018 22:52 UTC
Bassani DominicCEO · 10% owner
GrantOptions (Right to Buy) · Derivative 2,000,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-010888 · doc1.xml · derivative · entry 3

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,000,000

Underlying: Common Stock · 2,000,000 shares

Expires 2022-12-31

F2 · security: These Options were granted to the reporting person effective 2/16/2018 upon a two year extension of the employee contract. These options carry an exercise bonus of 90%.

Read SEC document
February 16, 2018 Filed Feb 28, 2018 22:38 UTC
SMITH MARK ADirector · President · 10% owner
GrantOptions (Right to Buy) · Derivative 200,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-010880 · doc1.xml · derivative · entry 1

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2022-12-31

F1 · kind: These options were granted by the Board of Directors effective on 2/15/2018 and carry an exercise bonus of 90 percent.

Read SEC document
January 26, 2018 Filed Feb 28, 2018 22:52 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-010888 · doc1.xml · nonDerivative · entry 2

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 236,897

F1 · kind: The shares held in the reporting person's IRA account were transferred to reporting person's ROTH IRA Account.

Read SEC document
January 26, 2018 Filed Feb 28, 2018 22:52 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 12,500 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-010888 · doc1.xml · nonDerivative · entry 1

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roth IRA

Disclosed balance after: 272,500

F1 · kind: The shares held in the reporting person's IRA account were transferred to reporting person's ROTH IRA Account.

Read SEC document
January 09, 2018 Filed Jan 22, 2018 19:57 UTC
NORTHROP JONDirector · Secretary
GrantOptions (Right to Buy) · Derivative 62,500 $0.00 Strike: $0.90 $0.00
Disclosure

SEC source: 0001140361-18-002734 · doc1.xml · derivative · entry 1

NORTHROP JON · CIK 0001249849 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 217,500

Underlying: Common Stock · 62,500 shares

Expires 2020-12-31

F1 · security: On January 9, 2018 62,500 options at $.90 were granted vesting immediately with an 50% exercise bonus until 12/31/2020

Read SEC document
December 31, 2017 Filed Jan 4, 2018 19:23 UTC
NORTHROP JONDirector · Secretary
OtherOptions (Right to Buy) · Derivative 295,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-000786 · doc1.xml · derivative · entry 1

NORTHROP JON · CIK 0001249849 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 155,000

Underlying: Common Stock · 295,000 shares

Expires 2017-12-31

F1 · security: On 12/31/2017 295,000 options with exercise price varying from $1.00 to $5.50 expired.

F1 · derivative.exercise_price: On 12/31/2017 295,000 options with exercise price varying from $1.00 to $5.50 expired.

F1 · derivative.exercise_date: On 12/31/2017 295,000 options with exercise price varying from $1.00 to $5.50 expired.

Read SEC document
December 31, 2017 Filed Jan 4, 2018 19:21 UTC GiftWarrants CAP2017-D · Derivative 50,000 $0.00 Strike: $0.75 $0.00
Disclosure

SEC source: 0001140361-18-000784 · doc1.xml · derivative · entry 1

Lominy Danielle C. · CIK 0001704199 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 50,000

Underlying: Common Stock · 50,000 shares

Expires 2020-12-31

F1 · security: Each of these gifted warrants carry an exercise bonus of 90%. All warrants owned by reporting person prior to 12/31/2017 have an expiration date of 12/31/2022.

Read SEC document
December 31, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
GrantConvertible Deferred Compensation · Derivative 46,967 Not disclosed Strike: $0.66 Not disclosed
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 13

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 46,967 shares

Expires not disclosed

F5 · price: New monthly accrual of $31,000 compensation commenced during December 2017 convertible at $.66/share (based on market price formula-the amount will vary as the market price of Bion's common stock varies and will increase for future net accruals (including interest), if any).

F5 · derivative.exercise_date: New monthly accrual of $31,000 compensation commenced during December 2017 convertible at $.66/share (based on market price formula-the amount will vary as the market price of Bion's common stock varies and will increase for future net accruals (including interest), if any).

F5 · derivative.expiration_date: New monthly accrual of $31,000 compensation commenced during December 2017 convertible at $.66/share (based on market price formula-the amount will vary as the market price of Bion's common stock varies and will increase for future net accruals (including interest), if any).

Read SEC document
December 31, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
GiftWarrants Class CAP2017-5 · Derivative 150,000 $0.05 Strike: $0.75 $7,500.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 11

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,615,000

Underlying: Common Stock · 1,615,000 shares

Expires 2020-12-31

F3 · security: Each of these purchased warrants includes a potential future 90% "exercise Bonus" (See Notes 9 & 10, Financial Statements, Form 10Q for quarter ended 9/30/2017. These warrants were purchased with a $88,250 Promissory Note which matures on July 1, 2020 and the Company is holding certain securities that the Reporting Person owns as collateral until the promissory note is satisfied.

Read SEC document
November 30, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
OtherJanuary 2015 Convertible Note · Derivative 426,776 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 12

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 846,928

Underlying: Warrants · 846,928 shares

Expires not disclosed

F4 · security: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F5 · security: IRA account

F3 · date: The number of warrants included in Units to be received in conversion of existing 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from from ? to ? per Unit which change increased potential warrants to be received in the event of conversion of Mr. Smith's 'January 2015 Convertible Note' by 423,464 at November 7, 2017 including interest accruals through November 30, 2017 (with future increase due to subsequent interest accruals). The potential future 'exercise bonus' for these warrants (and all other options and warrants owned by Mr. Smith (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F4 · date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F4 · price: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F3 · derivative.exercise_date: The number of warrants included in Units to be received in conversion of existing 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from from ? to ? per Unit which change increased potential warrants to be received in the event of conversion of Mr. Smith's 'January 2015 Convertible Note' by 423,464 at November 7, 2017 including interest accruals through November 30, 2017 (with future increase due to subsequent interest accruals). The potential future 'exercise bonus' for these warrants (and all other options and warrants owned by Mr. Smith (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F4 · derivative.expiration_date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

Read SEC document
November 30, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
OtherJanuary 2015 Convertible Note · Derivative 12,779 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 11

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,693,856

Underlying: Common Stock · 1,693,856 shares

Expires not disclosed

F4 · security: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F5 · security: IRA account

F3 · date: The number of warrants included in Units to be received in conversion of existing 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from from ? to ? per Unit which change increased potential warrants to be received in the event of conversion of Mr. Smith's 'January 2015 Convertible Note' by 423,464 at November 7, 2017 including interest accruals through November 30, 2017 (with future increase due to subsequent interest accruals). The potential future 'exercise bonus' for these warrants (and all other options and warrants owned by Mr. Smith (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F4 · date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F4 · price: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F3 · derivative.exercise_date: The number of warrants included in Units to be received in conversion of existing 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from from ? to ? per Unit which change increased potential warrants to be received in the event of conversion of Mr. Smith's 'January 2015 Convertible Note' by 423,464 at November 7, 2017 including interest accruals through November 30, 2017 (with future increase due to subsequent interest accruals). The potential future 'exercise bonus' for these warrants (and all other options and warrants owned by Mr. Smith (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F4 · derivative.expiration_date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

Read SEC document
November 30, 2017 Filed Dec 22, 2017 22:19 UTC
Schafer Edward TDirector · Executive Vice Chairman
OtherJanuary 2015 Convertible Note · Derivative 211,334 Not disclosed Strike: $1.50 Not disclosed
Disclosure

SEC source: 0001140361-17-047228 · doc1.xml · derivative · entry 5

Schafer Edward T · CIK 0001376093 · Director · Executive Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,270

Underlying: Warrants · 421,270 shares

Expires not disclosed

F3 · security: The number of warrants included in Units to be received in conversion of existing "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has increased from 1/4 to 1/2 per Unit which change increased potential warrants to be received in the event of conversion of Mr. Schafer's "January 2015 Convertible Note" by 210,635 at November 7, 2017 including interest accruals through November 30, 2017 (with future increase due to subsequent interest accruals). The Potential future "exercise bonus" for these warrants (and all other options and warrants owned by Mr. Schafer (and his donees)/assignees) was increased to 75% from 50%. See Notes 7, 9 & 10 Financial Statements Form 10Q for quarter ended 9/30/17.

F4 · price: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F2 · derivative.exercise_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6, 2017) of $121,386 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 144,507 shares of common stock at November 7, 2017 (see Notes 5&10 Financial Statements Form 10-Q for quarter ended 9/30/17 (Note that, per item 12, Form 10 - k (for year ended June 30 2017) $120,269 of convertible deferred compensation was convertible into 133,164 shares at August 15, 2017. This category of security's amount has varied with the addition of accrued deferred compensation and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F4 · derivative.expiration_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

Read SEC document
November 30, 2017 Filed Dec 22, 2017 22:19 UTC
Schafer Edward TDirector · Executive Vice Chairman
OtherJanuary 2015 Convertible Note · Derivative 2,798 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001140361-17-047228 · doc1.xml · derivative · entry 4

Schafer Edward T · CIK 0001376093 · Director · Executive Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 835,852

Underlying: Common Stock · 842,540 shares

Expires not disclosed

F4 · price: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F2 · derivative.exercise_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6, 2017) of $121,386 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 144,507 shares of common stock at November 7, 2017 (see Notes 5&10 Financial Statements Form 10-Q for quarter ended 9/30/17 (Note that, per item 12, Form 10 - k (for year ended June 30 2017) $120,269 of convertible deferred compensation was convertible into 133,164 shares at August 15, 2017. This category of security's amount has varied with the addition of accrued deferred compensation and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F4 · derivative.expiration_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

Read SEC document
November 30, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherJanuary 2015 Convertible Note · Derivative 1,630,943 Not disclosed Strike: $0.50 Not disclosed
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 15

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Warrants · 3,261,886 shares

Expires not disclosed

F7 · security: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q, financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $1,630,943 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and 1/2 warrant ( 3,261,886 Units consisting of 3, 261,886 shares of common stock and 1,630,943 warrants, in aggregate). See Note 6 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F7 · price: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q, financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $1,630,943 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and 1/2 warrant ( 3,261,886 Units consisting of 3, 261,886 shares of common stock and 1,630,943 warrants, in aggregate). See Note 6 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F7 · derivative.exercise_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q, financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $1,630,943 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and 1/2 warrant ( 3,261,886 Units consisting of 3, 261,886 shares of common stock and 1,630,943 warrants, in aggregate). See Note 6 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F7 · derivative.expiration_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q, financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $1,630,943 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and 1/2 warrant ( 3,261,886 Units consisting of 3, 261,886 shares of common stock and 1,630,943 warrants, in aggregate). See Note 6 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F7 · balance_after: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q, financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $1,630,943 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and 1/2 warrant ( 3,261,886 Units consisting of 3, 261,886 shares of common stock and 1,630,943 warrants, in aggregate). See Note 6 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

Read SEC document
November 20, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
PurchaseCommon Stock 10,100 $0.60 $6,060.00
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · nonDerivative · entry 3

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 218,729

Read SEC document
November 07, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
GrantJanuary 2015 Convertible Note warrants · Derivative 423,464 Not disclosed Strike: $1.00 Not disclosed
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 10

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 846,928 shares

Expires not disclosed

F4 · price: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F4 · derivative.exercise_date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F4 · derivative.expiration_date: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

F4 · balance_after: Outstanding 'January 2015 Convertible Note' (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $846,928 as of November 30, 2017. The note is convertible at $.50 per Unit into Units consisting of 1 share of common stock and ? warrant (1,693,856 Units consisting of 1,693,856 shares of common stock and 846,928 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17). The number of Units will increase as interest accrues.

Read SEC document
November 07, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
OtherConvertible Deferred Compensation · Derivative 538,876 Not disclosed Strike: $0.72 Not disclosed
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 9

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 538,876 shares

Expires not disclosed

F2 · price: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14-Nov 6, 2017) of $416,656 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 538,876 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17) (Note that, per Item 12, Form 10-K (for year ended June 30, 2017) $358,934 of convertible deferred compensation was convertible into 464,763 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated February 3, 2015. Since that date its amount has varied with the addition of accrued deferred compensation , has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F2 · derivative.exercise_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14-Nov 6, 2017) of $416,656 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 538,876 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17) (Note that, per Item 12, Form 10-K (for year ended June 30, 2017) $358,934 of convertible deferred compensation was convertible into 464,763 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated February 3, 2015. Since that date its amount has varied with the addition of accrued deferred compensation , has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F2 · derivative.expiration_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14-Nov 6, 2017) of $416,656 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 538,876 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17) (Note that, per Item 12, Form 10-K (for year ended June 30, 2017) $358,934 of convertible deferred compensation was convertible into 464,763 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated February 3, 2015. Since that date its amount has varied with the addition of accrued deferred compensation , has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

Read SEC document
November 07, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
GiftWarrants Class CAP2017-1 · Derivative 370,000 $0.05 Strike: $0.75 $18,500.00
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 8

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 300,000

Underlying: Common Stock · 300,000 shares

Expires 2020-12-31

F1 · security: Each of which warrants includes a potential future 90% 'exercise bonus' (See Notes 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

Read SEC document
November 07, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
GrantWarrants Class CAP2017-1 · Derivative 670,000 $0.05 Strike: $0.75 $33,500.00
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · derivative · entry 7

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 670,000

Underlying: Common Stock · 670,000 shares

Expires 2020-12-31

F1 · security: Each of which warrants includes a potential future 90% 'exercise bonus' (See Notes 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

Read SEC document
November 07, 2017 Filed Dec 22, 2017 22:19 UTC
Schafer Edward TDirector · Executive Vice Chairman
GrantJanuary 2015 Convertible Note Warrants · Derivative 210,635 Not disclosed Strike: $1.00 Not disclosed
Disclosure

SEC source: 0001140361-17-047228 · doc1.xml · derivative · entry 3

Schafer Edward T · CIK 0001376093 · Director · Executive Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421,270

Underlying: Common Stock · 421,270 shares

Expires not disclosed

F4 · price: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F4 · derivative.exercise_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

F4 · derivative.expiration_date: Outstanding "January 2015 Convertible Note" (as defined in Form 10-Q Financial Statements, Note 7 and other SEC filings) has a balance (principal plus accrued interest) of approximately $421,270 as of November 30, 2017. The note is convertible at $.50 per unit into units consisting of 1 share of common stock and 1/2 warrant ((842,540 Units consisting of 842,540 shares of common stock and 421,270 warrants, in aggregate). See Note 3 above. (See Notes 7, 9 & 10 Financial Statements, Form 10 - Q for quarter ended 9/30/17. The number of Units will increase as interest accrues.

Read SEC document
November 07, 2017 Filed Dec 22, 2017 22:19 UTC
Schafer Edward TDirector · Executive Vice Chairman
OtherConvertible Deferred Compensation · Derivative 144,507 Not disclosed Strike: $0.72 Not disclosed
Disclosure

SEC source: 0001140361-17-047228 · doc1.xml · derivative · entry 2

Schafer Edward T · CIK 0001376093 · Director · Executive Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 144,507 shares

Expires not disclosed

F2 · price: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6, 2017) of $121,386 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 144,507 shares of common stock at November 7, 2017 (see Notes 5&10 Financial Statements Form 10-Q for quarter ended 9/30/17 (Note that, per item 12, Form 10 - k (for year ended June 30 2017) $120,269 of convertible deferred compensation was convertible into 133,164 shares at August 15, 2017. This category of security's amount has varied with the addition of accrued deferred compensation and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F2 · derivative.exercise_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6, 2017) of $121,386 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 144,507 shares of common stock at November 7, 2017 (see Notes 5&10 Financial Statements Form 10-Q for quarter ended 9/30/17 (Note that, per item 12, Form 10 - k (for year ended June 30 2017) $120,269 of convertible deferred compensation was convertible into 133,164 shares at August 15, 2017. This category of security's amount has varied with the addition of accrued deferred compensation and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

F2 · derivative.expiration_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6, 2017) of $121,386 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 144,507 shares of common stock at November 7, 2017 (see Notes 5&10 Financial Statements Form 10-Q for quarter ended 9/30/17 (Note that, per item 12, Form 10 - k (for year ended June 30 2017) $120,269 of convertible deferred compensation was convertible into 133,164 shares at August 15, 2017. This category of security's amount has varied with the addition of accrued deferred compensation and has fluctuated in number as the market-based conversion price has varied by formula. New accruals will commence during December 2017 with the same variables in place.

Read SEC document
November 07, 2017 Filed Dec 22, 2017 22:19 UTC
Schafer Edward TDirector · Executive Vice Chairman
GrantOptions (Right to Buy) · Derivative 190,000 $0.05 Strike: $0.75 $9,500.00
Disclosure

SEC source: 0001140361-17-047228 · doc1.xml · derivative · entry 1

Schafer Edward T · CIK 0001376093 · Director · Executive Vice Chairman

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 190,000

Underlying: Common Stock · 190,000 shares

Expires 2020-12-31

F1 · security: Each of which options includes a potential future 90% exercise bonus "exercise bonus" (See Notes 9&10, Financial Statements, Form 10-Q for quarter ended 9/30/17

Read SEC document
November 07, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
GrantJanuary 2015 Convertible Note Warrants · Derivative 815,472 Not disclosed Strike: $1.00 Not disclosed
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 14

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,630,943 shares

Expires not disclosed

F6 · price: The number of warrants included in Units to be received in conversion of existing "January 2015 Convertible Note" (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from 1/4 to 1/2 per Unit which change increased potential warrants to be received in the event of conversion of Reporting Person's " January 2015 Convertible Note" by 815,472 at November 7, 2017 including interest accruals through November 30, 2017 (with future increases due to subsequent interest accruals). The potential future "exercise bonus" for these warrants (and all other options and warrants owned by the Reporting Person (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F6 · derivative.exercise_date: The number of warrants included in Units to be received in conversion of existing "January 2015 Convertible Note" (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from 1/4 to 1/2 per Unit which change increased potential warrants to be received in the event of conversion of Reporting Person's " January 2015 Convertible Note" by 815,472 at November 7, 2017 including interest accruals through November 30, 2017 (with future increases due to subsequent interest accruals). The potential future "exercise bonus" for these warrants (and all other options and warrants owned by the Reporting Person (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F6 · derivative.expiration_date: The number of warrants included in Units to be received in conversion of existing "January 2015 Convertible Note" (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from 1/4 to 1/2 per Unit which change increased potential warrants to be received in the event of conversion of Reporting Person's " January 2015 Convertible Note" by 815,472 at November 7, 2017 including interest accruals through November 30, 2017 (with future increases due to subsequent interest accruals). The potential future "exercise bonus" for these warrants (and all other options and warrants owned by the Reporting Person (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

F6 · balance_after: The number of warrants included in Units to be received in conversion of existing "January 2015 Convertible Note" (as defined in Form 10-Q, Financial Statements, Note 7 and other SEC filings) has increased from 1/4 to 1/2 per Unit which change increased potential warrants to be received in the event of conversion of Reporting Person's " January 2015 Convertible Note" by 815,472 at November 7, 2017 including interest accruals through November 30, 2017 (with future increases due to subsequent interest accruals). The potential future "exercise bonus" for these warrants (and all other options and warrants owned by the Reporting Person (and his donees/assignees) was increased to 75% from 50%. (See Notes 7, 9 & 10, Financial Statements, Form 10-Q for quarter ended 9/30/17).

Read SEC document
November 07, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherConvertible Deferred Compensation · Derivative 1,408,583 Not disclosed Strike: $0.72 Not disclosed
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 12

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 1,408,583 shares

Expires not disclosed

F4 · price: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6) of $1,147,210 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 1,408,583 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements Form 10-Q for quarter ended 9/30/17) (Note that per item 12, Form 10K (for year ended June 30, 2017) $1,043,646 of convertible deferred compensation was convertible into 1,217,194 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated January 5, 2016. Since that date its amount has varied with the addition of accrued deferred compensation, has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula.

F4 · derivative.exercise_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6) of $1,147,210 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 1,408,583 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements Form 10-Q for quarter ended 9/30/17) (Note that per item 12, Form 10K (for year ended June 30, 2017) $1,043,646 of convertible deferred compensation was convertible into 1,217,194 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated January 5, 2016. Since that date its amount has varied with the addition of accrued deferred compensation, has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula.

F4 · derivative.expiration_date: This report reflects the cancellation (effective November 7, 2017) (per agreements reached between October 14 - Nov 6) of $1,147,210 of accrued convertible deferred compensation (including November 2017 accrual) which was convertible into 1,408,583 shares of common stock at November 7, 2017 (See Notes 5 & 10, Financial Statements Form 10-Q for quarter ended 9/30/17) (Note that per item 12, Form 10K (for year ended June 30, 2017) $1,043,646 of convertible deferred compensation was convertible into 1,217,194 shares at August 15, 2017). This category of security had been previously reported on Form 4 dated January 5, 2016. Since that date its amount has varied with the addition of accrued deferred compensation, has been reduced when conversions have taken place and has fluctuated in number as the market-based conversion price has varied by formula.

Read SEC document
November 07, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
PurchaseWarrants Class CAP2017-5 · Derivative 1,765,000 $0.05 Strike: $0.75 $88,250.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · derivative · entry 10

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,765,000

Underlying: Common Stock · 1,765,000 shares

Expires 2020-12-31

F3 · security: Each of these purchased warrants includes a potential future 90% "exercise Bonus" (See Notes 9 & 10, Financial Statements, Form 10Q for quarter ended 9/30/2017. These warrants were purchased with a $88,250 Promissory Note which matures on July 1, 2020 and the Company is holding certain securities that the Reporting Person owns as collateral until the promissory note is satisfied.

Read SEC document
November 01, 2017 Filed Dec 20, 2017 18:33 UTC
NORTHROP JONDirector · Secretary
GrantOptions (Right to Buy) · Derivative 80,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001140361-17-046846 · doc1.xml · derivative · entry 2

NORTHROP JON · CIK 0001249849 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 80,000

Underlying: Common Stock · 80,000 shares

Expires 2020-12-31

Read SEC document
October 24, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 71,933 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · nonDerivative · entry 2

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 208,629

Read SEC document
October 24, 2017 Filed Dec 7, 2017 15:00 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 177,591 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-045250 · doc1.xml · nonDerivative · entry 1

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Joint with Wife

Disclosed balance after: 0

Read SEC document
August 10, 2017 Filed Aug 14, 2017 20:28 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock - Unit 182,757 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-032026 · doc1.xml · nonDerivative · entry 2

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Read SEC document
August 10, 2017 Filed Aug 14, 2017 20:28 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 33,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-032026 · doc1.xml · nonDerivative · entry 1

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 293,097

Read SEC document
May 25, 2017 Filed May 30, 2017 21:13 UTC
SMITH MARK ADirector · President · 10% owner
GrantWarrants - CONUT · Derivative 91,370 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001140361-17-022864 · doc1.xml · derivative · entry 6

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 91,370

Underlying: Common Stock · 91,370 shares

Expires 2018-03-31

F2 · kind: On May 25, 2017, Mr. Smith converted $137,067.45 of his accrued advances/expenses ($62,047.25) and deferred compensation ($75,000.00) into 187,757 Units (at recent PPM price ) of $.75 per unit (consisting of one share of Bion common stock and ? warrant).

Read SEC document
May 25, 2017 Filed May 30, 2017 21:13 UTC
SMITH MARK ADirector · President · 10% owner
GrantCommon Stock - Unit 182,757 $0.75 $137,067.75
Disclosure

SEC source: 0001140361-17-022864 · doc1.xml · nonDerivative · entry 2

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 182,757

F1 · security: Unit consist of one share of Bion common stock and ? warrant

F2 · kind: On May 25, 2017, Mr. Smith converted $137,067.45 of his accrued advances/expenses ($62,047.25) and deferred compensation ($75,000.00) into 187,757 Units (at recent PPM price ) of $.75 per unit (consisting of one share of Bion common stock and ? warrant).

Read SEC document
May 25, 2017 Filed May 30, 2017 21:13 UTC
SMITH MARK ADirector · President · 10% owner
GiftCommon Stock 70,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-17-022864 · doc1.xml · nonDerivative · entry 1

SMITH MARK A · CIK 0001168243 · Director · President · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 326,097

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May 15, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 235,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · nonDerivative · entry 9

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife's Roth IRA

Disclosed balance after: 279,382

F2 · kind: The Shares held in Reporting Person's Wife's IRA Account were distributed to the Reporting Person's Wife's ROTH IRA Account.

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May 15, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 235,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · nonDerivative · entry 8

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Wife's IRA

Disclosed balance after: 41,104

F2 · kind: The Shares held in Reporting Person's Wife's IRA Account were distributed to the Reporting Person's Wife's ROTH IRA Account.

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May 15, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 260,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · nonDerivative · entry 7

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By IRA

Disclosed balance after: 249,397

F1 · kind: The Shares held in the Reporting Person's IRA Account were distributed to the Reporting Person's ROTH IRA Account.

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May 15, 2017 Filed Jan 4, 2018 17:01 UTC
Bassani DominicCEO · 10% owner
OtherCommon Stock 260,000 $0.00 $0.00
Disclosure

SEC source: 0001140361-18-000689 · doc1.xml · nonDerivative · entry 6

Bassani Dominic · CIK 0000929535 · CEO · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Roth IRA

Disclosed balance after: 260,000

F1 · kind: The Shares held in the Reporting Person's IRA Account were distributed to the Reporting Person's ROTH IRA Account.

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April 27, 2017 Filed Dec 20, 2017 18:33 UTC
NORTHROP JONDirector · Secretary
GrantOptions (Right to Buy) · Derivative 25,000 $0.00 Strike: $1.00 $0.00
Disclosure

SEC source: 0001140361-17-046846 · doc1.xml · derivative · entry 1

NORTHROP JON · CIK 0001249849 · Director · Secretary

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2020-04-15

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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.