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Nasdaq · USD

BRFH

BARFRESH FOOD GROUP INC.

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7628
SEC CIK
0001487197
Parsed reports
110

Last 12 months

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0 purchase rows · 2 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
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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
March 09, 2023 Filed Mar 10, 2023 21:05 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 11 $1.13 $12.43
Disclosure

SEC source: 0001493152-23-007236 · ownership.xml · nonDerivative · entry 6

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,021

Read SEC document
March 08, 2023 Filed Mar 10, 2023 21:05 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 1,000 $1.01 $1,009.40
Disclosure

SEC source: 0001493152-23-007236 · ownership.xml · nonDerivative · entry 5

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 60,010

Read SEC document
March 08, 2023 Filed Mar 10, 2023 21:05 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 1 $1.05 $1.05
Disclosure

SEC source: 0001493152-23-007236 · ownership.xml · nonDerivative · entry 4

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,010

Read SEC document
March 08, 2023 Filed Mar 10, 2023 21:05 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 590 $1.00 $590.00
Disclosure

SEC source: 0001493152-23-007236 · ownership.xml · nonDerivative · entry 3

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 59,009

Read SEC document
March 02, 2023 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantCommon Stock 18,300 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · nonDerivative · entry 3

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 58,419

F2 · price: Represents the settlement of performance units in stock. Issued shares are net of 7,714 withheld to cover employee tax obligations.

Read SEC document
March 02, 2023 Filed Mar 6, 2023 22:43 UTC
Roger LisaChief Financial Officer
GrantCommon Stock 5,649 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-23-006847 · ownership.xml · nonDerivative · entry 1

Roger Lisa · CIK 0001905960 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,342

F1 · price: Represents the settlement of performance units in stock. Issued shares are net of 3,890 withheld to cover employee tax obligations.

Read SEC document
January 13, 2023 Filed Jan 17, 2023 17:39 UTC GrantStock option · Derivative 18,968 Not disclosed Strike: $1.65 Not disclosed
Disclosure

SEC source: 0001493152-23-001669 · ownership.xml · derivative · entry 1

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,968

Underlying: Common Stock · 18,968 shares

Expires 2031-01-13

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
January 13, 2023 Filed Jan 17, 2023 22:46 UTC GrantCommon Stock 15,060 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-23-001674 · ownership.xml · nonDerivative · entry 1

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 77,940

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

Read SEC document
January 13, 2023 Filed Jan 18, 2023 20:36 UTC GrantCommon Stock 15,060 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-23-001774 · ownership.xml · nonDerivative · entry 1

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 185,755

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

Read SEC document
July 26, 2022 Filed Jul 27, 2022 22:27 UTC
Roger LisaChief Financial Officer
GrantCommon Stock 5,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-020441 · ownership.xml · nonDerivative · entry 1

Roger Lisa · CIK 0001905960 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 12,693

F1 · price: Represents bonus compensation granted in stock.

Read SEC document
July 15, 2022 Filed Jul 19, 2022 11:06 UTC GrantStock option · Derivative 6,258 Not disclosed Strike: $5.09 Not disclosed
Disclosure

SEC source: 0001493152-22-019770 · ownership.xml · derivative · entry 1

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,258

Underlying: Common Stock · 6,258 shares

Expires 2030-07-15

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
July 15, 2022 Filed Jul 20, 2022 00:05 UTC GrantCommon Stock 4,921 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-019864 · ownership.xml · nonDerivative · entry 1

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 170,695

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

Read SEC document
July 15, 2022 Filed Jul 19, 2022 23:40 UTC GrantCommon Stock 4,921 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-019862 · ownership.xml · nonDerivative · entry 1

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 62,880

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

Read SEC document
April 27, 2022 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantStock option · Derivative 19,231 Not disclosed Strike: $6.79 Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · derivative · entry 4

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,231

Underlying: Common Stock · 19,231 shares

Expires 2030-04-27

F3 · price: Granted pursuant to employment agreement. Options vest in equal amounts annually over three years beginning on the first anniversary of the grant date.

Read SEC document
February 17, 2022 Filed Feb 18, 2022 14:40 UTC GrantStock option · Derivative 6,106 Not disclosed Strike: $5.25 Not disclosed
Disclosure

SEC source: 0001493152-22-004938 · ownership.xml · derivative · entry 1

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,106

Underlying: Common Stock · 6,106 shares

Expires 2030-02-17

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
February 17, 2022 Filed Feb 22, 2022 11:06 UTC GrantCommon Stock 4,762 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-005045 · ownership.xml · nonDerivative · entry 1

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 57,959

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

Read SEC document
February 17, 2022 Filed Feb 22, 2022 11:02 UTC GrantCommon Stock 4,762 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-22-005041 · ownership.xml · nonDerivative · entry 1

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 165,774

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

Read SEC document
December 10, 2021 Filed Dec 13, 2021 22:12 UTC GrantCommon Stock 51,483 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-031308 · ownership.xml · nonDerivative · entry 1

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 691,483

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

Read SEC document
December 10, 2021 Filed Dec 13, 2021 23:59 UTC GrantCommon Stock 51,483 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-031322 · ownership.xml · nonDerivative · entry 1

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,093,069

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

Read SEC document
December 10, 2021 Filed Dec 14, 2021 11:24 UTC GrantStock option · Derivative 66,489 Not disclosed Strike: $0.49 Not disclosed
Disclosure

SEC source: 0001493152-21-031371 · ownership.xml · derivative · entry 1

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 66,489

Underlying: Common Stock · 66,489 shares

Expires 2029-12-10

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
July 06, 2021 Filed Jul 6, 2021 20:44 UTC
Ibex Investors LLCDirector · 10% owner
Ibex Microcap Fund LLLPDirector · 10% owner
BORUS JUSTIN BDirector · 10% owner
GrantWarrant (right to buy) · Derivative 1,800,000 Not disclosed Strike: $0.53 Not disclosed
Disclosure

SEC source: 0001104659-21-089456 · tm2121526-1_4seq1.xml · derivative · entry 2

Ibex Investors LLC · CIK 0001531964 · Director · 10% owner

Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner

BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 1,800,000

Underlying: Common Stock · 1,800,000 shares

Expires 2023-07-31

F1 · kind: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023.

F1 · price: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023.

F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer.

F3 · ownership.nature: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities.

F4 · ownership.nature: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I.

Read SEC document
July 06, 2021 Filed Jul 6, 2021 20:44 UTC
Ibex Investors LLCDirector · 10% owner
Ibex Microcap Fund LLLPDirector · 10% owner
BORUS JUSTIN BDirector · 10% owner
Disposition to issuerWarrant (right to buy) · Derivative 1,800,000 Not disclosed Strike: $0.53 Not disclosed
Disclosure

SEC source: 0001104659-21-089456 · tm2121526-1_4seq1.xml · derivative · entry 1

Ibex Investors LLC · CIK 0001531964 · Director · 10% owner

Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner

BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnotes

Disclosed balance after: 0

Underlying: Common Stock · 1,800,000 shares

Expires 2021-07-31

F1 · kind: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023.

F1 · price: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023.

F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer.

F3 · ownership.nature: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities.

F4 · ownership.nature: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I.

Read SEC document
May 26, 2021 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
OtherCommon Stock 53,815 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · nonDerivative · entry 7

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 570,051

F3 · price: Shares were issued in lieu of interest on its M1 convertible note, valued according to the terms of the note at $0.60 per share.

Read SEC document
May 07, 2021 Filed May 11, 2021 11:06 UTC GrantStock option · Derivative 74,405 Not disclosed Strike: $0.42 Not disclosed
Disclosure

SEC source: 0001493152-21-010982 · ownership.xml · derivative · entry 1

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,405

Underlying: Common Stock · 74,405 shares

Expires 2029-05-07

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
May 07, 2021 Filed May 11, 2021 20:53 UTC GrantCommon Stock 59,524 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-011040 · ownership.xml · nonDerivative · entry 1

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 640,000

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

Read SEC document
May 07, 2021 Filed May 11, 2021 18:05 UTC GrantStock options · Derivative 74,405 Not disclosed Strike: $0.42 Not disclosed
Disclosure

SEC source: 0001493152-21-011002 · ownership.xml · derivative · entry 10

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 74,405

Underlying: Common Stock · 74,405 shares

Expires 2029-05-07

F6 · price: Stock option granted as non-employee director board compensation

Read SEC document
April 27, 2021 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantStock option · Derivative 19,231 Not disclosed Strike: $5.72 Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · derivative · entry 5

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,231

Underlying: Common Stock · 19,231 shares

Expires 2029-04-27

F3 · price: Granted pursuant to employment agreement. Options vest in equal amounts annually over three years beginning on the first anniversary of the grant date.

Read SEC document
September 28, 2020 Filed May 11, 2021 18:05 UTC OtherO Warrant · Derivative 26,835 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-011002 · ownership.xml · derivative · entry 14

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 26,835

Underlying: Common Stock · 26,835 shares

Expires 2023-09-28

F4 · price: On September 28, 2020, Mr. Cugine received additional shares due to a price adjustment on the M1/M2 convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed May 11, 2021 18:05 UTC OtherCommon Stock 53,669 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-011002 · ownership.xml · nonDerivative · entry 6

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,041,586

F4 · price: On September 28, 2020, Mr. Cugine received additional shares due to a price adjustment on the M1/M2 convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
GrantP Warrants · Derivative 77,143 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · derivative · entry 19

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 77,143

Underlying: Common Stock · 77,143 shares

Expires 2023-09-28

F5 · price: On September 28, 2020, Hodumo received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
GrantO Warrants · Derivative 68,436 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · derivative · entry 18

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 68,436

Underlying: Common Stock · 68,436 shares

Expires 2023-09-28

F5 · price: On September 28, 2020, Hodumo received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
OtherCommon Stock 136,871 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · nonDerivative · entry 6

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 516,236

F5 · price: On September 28, 2020, Hodumo received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Jul 19, 2021 16:06 UTC
UNIBEL10% owner
OtherWarrant M1/M2 · Derivative 536,689 Not disclosed Strike: $0.45 Not disclosed
Disclosure

SEC source: 0001493152-21-017155 · ownership.xml · derivative · entry 7

UNIBEL · CIK 0001240037 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 536,689

Underlying: Common Stock · 536,689 shares

Expires 2023-03-23

F3 · price: On September 28, 2020, the reporting person received additional shares due to a price adjustment, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Jul 19, 2021 16:06 UTC
UNIBEL10% owner
OtherCommon Stock 1,073,378 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-017155 · ownership.xml · nonDerivative · entry 4

UNIBEL · CIK 0001240037 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,402,926

F3 · price: On September 28, 2020, the reporting person received additional shares due to a price adjustment, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantP Warrants · Derivative 989 Not disclosed Strike: $7.80 Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · derivative · entry 17

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · RD Capital Holdings Pty Ltd

Disclosed balance after: 989

Underlying: Common Stock · 989 shares

Expires 2023-09-28

F5 · price: On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantO Warrants · Derivative 878 Not disclosed Strike: $7.80 Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · derivative · entry 16

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · RD Capital Holdings Pty Ltd

Disclosed balance after: 878

Underlying: Common Stock · 878 shares

Expires 2023-09-28

F5 · price: On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the convertible note conversion, as well as additional warrants.

Read SEC document
September 28, 2020 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
OtherCommon Stock 1,755 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · nonDerivative · entry 1

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · RD Capital Holdings Pty Ltd

Disclosed balance after: 1,501,880

F1 · price: On September 28, 2020, RD Capital Holdings Pty Ltd received additional shares due to a price adjustment on the M1/M2 note conversion, as well as additional warrants.

Read SEC document
September 23, 2020 Filed Sep 26, 2020 01:46 UTC
Ibex Investors LLCDirector · 10% owner
Ibex Microcap Fund LLLPDirector · 10% owner
BORUS JUSTIN BDirector · 10% owner
OtherWarrant (right to buy) · Derivative 642,857 Not disclosed Strike: $0.45 Not disclosed
Disclosure

SEC source: 0001104659-20-109032 · a4.xml · derivative · entry 4

Ibex Investors LLC · CIK 0001531964 · Director · 10% owner

Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner

Lazarus Macro Micro Partners LLLP · CIK 0001639757 · Director · 10% owner

BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Justin Borus

Disclosed balance after: 2,142,857

Underlying: Common Stock · 642,857 shares

Expires 2023-04-15

F3 · derivative.exercise_price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · derivative.exercise_price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · kind: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · kind: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · derivative.underlying_shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · derivative.underlying_shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · balance_after: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · balance_after: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F1 · ownership.nature: This Form 4 is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners", and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. [continued in footnote 2]

F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person.

Read SEC document
September 23, 2020 Filed Sep 26, 2020 01:46 UTC
Ibex Investors LLCDirector · 10% owner
Ibex Microcap Fund LLLPDirector · 10% owner
BORUS JUSTIN BDirector · 10% owner
OtherCommon Stock 1,285,714 $0.35 $449,999.90
Disclosure

SEC source: 0001104659-20-109032 · a4.xml · nonDerivative · entry 1

Ibex Investors LLC · CIK 0001531964 · Director · 10% owner

Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner

Lazarus Macro Micro Partners LLLP · CIK 0001639757 · Director · 10% owner

BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Indirect · By: Justin Borus

Disclosed balance after: 4,285,714

F3 · kind: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · kind: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F3 · balance_after: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4]

F4 · balance_after: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act.

F1 · ownership.nature: This Form 4 is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners", and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. [continued in footnote 2]

F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person.

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July 15, 2020 Filed Feb 17, 2021 11:43 UTC GrantStock option · Derivative 102,459 Not disclosed Strike: $0.34 Not disclosed
Disclosure

SEC source: 0001493152-21-004120 · ownership.xml · derivative · entry 4

Ortiz-Cochet Isabelle · CIK 0001692794 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 102,459

Underlying: Common Stock · 102,459 shares

Expires 2028-07-15

F1 · price: Stock option granted as non-employee director board compensation.

Read SEC document
July 15, 2020 Filed Feb 17, 2021 18:14 UTC GrantCommon Stock 73,529 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-004127 · ownership.xml · nonDerivative · entry 4

WARE ALEXANDER H · CIK 0001212143 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnote

Disclosed balance after: 580,476

F1 · price: Represents director's compensation granted in stock pursuant to the Issuer's compensation plan for non-employee directors.

F2 · ownership.nature: Reporting person exercises voting and dispositive power as trustee of Alexander Ware Revocable Trust u/a/d 12/29/04.

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April 28, 2020 Filed May 5, 2020 01:23 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantStock Option · Derivative 250,000 Not disclosed Strike: $0.38 Not disclosed
Disclosure

SEC source: 0001493152-20-007682 · ownership.xml · derivative · entry 3

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 250,000

Underlying: Common Stock · 250,000 shares

Expires 2028-04-28

F3 · price: Granted pursuant to employment agreement

Read SEC document
April 03, 2020 Filed May 5, 2020 01:23 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
PurchaseCommon Stock 53,228 $0.50 $26,614.00
Disclosure

SEC source: 0001493152-20-007682 · ownership.xml · nonDerivative · entry 1

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · R.D. Capital Holdings PTY Ltd.

Disclosed balance after: 19,501,569

F1 · shares: Milestone interest payment

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March 31, 2020 Filed Mar 7, 2023 00:41 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
GrantQ Warrants · Derivative 75,029 Not disclosed Strike: $3.51 Not disclosed
Disclosure

SEC source: 0001493152-23-006860 · ownership.xml · derivative · entry 14

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 75,029

Underlying: Common Stock · 75,029 shares

Expires 2025-03-30

F6 · price: Granted on March 31, 2020 in consideration of deferral of cash compensation due.

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March 23, 2020 Filed May 5, 2020 01:23 UTC
Delle Coste RiccardoDirector · Chief Executive Officer · 10% owner
PurchaseWarrant · Derivative 26,614 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-20-007682 · ownership.xml · derivative · entry 4

Delle Coste Riccardo · CIK 0001598573 · Director · Chief Executive Officer · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · R.D. CAPITAL HOLDINGS PTY LTD.

Disclosed balance after: 26,614

Underlying: Common Stock · 26,614 shares

Expires 2023-03-23

F4 · price: Purchased in private placement of common stock with 50% warrant coverage at $0.50 per share of common stock.

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March 23, 2020 Filed May 11, 2021 18:05 UTC OtherO Warrant · Derivative 62,614 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-011002 · ownership.xml · derivative · entry 13

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 62,614

Underlying: Common Stock · 62,614 shares

Expires 2023-03-23

F3 · price: On March 23, 2020, Mr. Cugine converted his M1/M2 convertible notes into common stock "O" Warrants were issued for participation in the conversion.

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March 23, 2020 Filed May 11, 2021 18:05 UTC OtherCommon Stock 125,228 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-011002 · ownership.xml · nonDerivative · entry 5

Cugine Joseph M. · CIK 0001557753 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,987,917

F3 · price: On March 23, 2020, Mr. Cugine converted his M1/M2 convertible notes into common stock "O" Warrants were issued for participation in the conversion.

Read SEC document
March 23, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
GrantP Warrants · Derivative 180,000 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · derivative · entry 17

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 180,000

Underlying: Common Stock · 180,000 shares

Expires 2023-03-23

F4 · price: On March 23, 2020, Hodumo received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion.

Read SEC document
March 23, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
GrantO Warrants · Derivative 159,683 Not disclosed Strike: $0.60 Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · derivative · entry 16

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 159,683

Underlying: Common Stock · 159,683 shares

Expires 2023-03-20

F4 · price: On March 23, 2020, Hodumo received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion.

Read SEC document
March 23, 2020 Filed Jul 6, 2021 21:30 UTC
Lang StevenDirector · 10% owner
OtherCommon Stock 319,365 Not disclosed Not disclosed
Disclosure

SEC source: 0001493152-21-016278 · ownership.xml · nonDerivative · entry 5

Lang Steven · CIK 0001598907 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · Hodumo Pty Ltd

Disclosed balance after: 379,365

F4 · price: On March 23, 2020, Hodumo received shares of common stock upon conversion of its convertible note and warrants for participation in the conversion.

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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.