Last 12 months
Inside the activity.
3 purchase rows · 0 sale rows
Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.Monthly counts
| Month | Purchases | Sales |
|---|---|---|
| Nov 2025 | 0 | 0 |
| Dec 2025 | 0 | 0 |
| Jan 2026 | 0 | 0 |
| Feb 2026 | 0 | 0 |
| Mar 2026 | 0 | 0 |
| Apr 2026 | 0 | 0 |
| May 2026 | 0 | 0 |
| Jun 2026 | 0 | 0 |
| Jul 2026 | 0 | 0 |
| Aug 2026 | 0 | 0 |
| Sep 2026 | 3 | 0 |
| Oct 2026 | 0 | 0 |
Latest available
Insider transactions
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 date | Owner / reported role | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| February 26, 2021 Filed Mar 2, 2021 00:51 UTC |
Bleichroeder LP10% owner
|
PurchaseSeries C Convertible Preferred Stock · Derivative | 2,500 | $1,000.00 Strike: $5.50 | $2,500,000.00 |
DisclosureSEC source: 0001781002-21-000020 · primary_doc.xml · derivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,500 Underlying: Common Stock · 454,546 shares Expires not disclosed F1 · derivative.exercise_price: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion. F1 · derivative.exercise_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion. F1 · derivative.expiration_date: On February 26, 2021, 21 April Fund, Ltd., 21 April Fund, LP and DUOS Technologies Group, Inc. (the "Issuer") entered into an agreement (the "Preferred Stock Agreement") under which 21 April Fund, Ltd. and 21 April Fund, LP purchased from the Issuer 2,500 shares of Series C Convertible Preferred Stock at a per share price of $1,000. Each share of Series C Convertible Preferred Stock is convertible into shares of Common Stock at a conversion price of $5.50. The conversion of the shares of Series C Convertible Preferred Stock is subject to a Beneficial Ownership Limitation (as defined in the agreement) of 19.9% of the number of shares of Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion. F2 · ownership.nature: This form is filed by Bleichroeder LP. Bleichroeder LP serves as registered investment adviser to 21 April Fund, Ltd., 21 April Fund, LP and other managed accounts. Bleichroeder LP disclaims beneficial ownership of these securities except to the extent of their pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder LP is the beneficial owner of the securities for purposes of Section 16 or for any other purposes. Read SEC document |
| February 26, 2021 Filed Sep 3, 2021 14:51 UTC |
PESSIN NORMAN H10% owner
Pessin Brian L.10% owner
PESSIN SANDRA F10% owner
|
PurchaseSeries C Convertible Preferred Stock · Derivative | 500 | $1,000.00 Strike: $5.50 | $500,000.00 |
DisclosureSEC source: 0001140361-21-030354 · form4.xml · derivative · entry 6 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 500 Underlying: Common Stock · 90,909 shares Expires not disclosed F8 · derivative.exercise_date: The Series C Preferred Stock is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to the Common Stock owned by Brian L. Pessin, affiliates of Brian L. Pessin or members of a group with Brian L. Pessin. The Series C Preferred Stock has no stated maturity date. F8 · derivative.expiration_date: The Series C Preferred Stock is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to the Common Stock owned by Brian L. Pessin, affiliates of Brian L. Pessin or members of a group with Brian L. Pessin. The Series C Preferred Stock has no stated maturity date. F9 · derivative.underlying_shares: Brian L. Pessin owns 500 shares of Series C Preferred Stock convertible into 90,909 shares of Common Stock. F3 · ownership.direct: Shares beneficially owned by Brian L. Pessin. Norman H. Pessin and Sandra F. Pessin expressly disclaim beneficial ownership of such shares. Read SEC document |
| February 26, 2021 Filed Sep 3, 2021 14:51 UTC |
PESSIN NORMAN H10% owner
Pessin Brian L.10% owner
PESSIN SANDRA F10% owner
|
PurchaseSeries C Convertible Preferred Stock · Derivative | 1,500 | $1,000.00 Strike: $5.50 | $1,500,000.00 |
DisclosureSEC source: 0001140361-21-030354 · form4.xml · derivative · entry 5 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 272,727 shares Expires not disclosed F6 · derivative.exercise_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 19.99%. The Series C Preferred Stock has no stated maturity date. F6 · derivative.expiration_date: The Series C Convertible Preferred Stock ("Series C Preferred Stock") is not currently exercisable due to a 4.99% beneficial ownership limitation with respect to Common Stock owned by Sandra F. Pessin, affiliates of Sandra F. Pessin or members of a group with Sandra F. Pessin. Such 4.99% beneficial ownership limitation can be increased to 19.99%. The Series C Preferred Stock has no stated maturity date. F7 · derivative.underlying_shares: Sandra F. Pessin owns 1,500 shares of Series C Preferred Stock convertible into 272,727 shares of Common Stock. F2 · ownership.direct: Shares beneficially owned by Sandra F. Pessin, Norman H. Pessin's spouse. Norman H. Pessin expressly disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein. Read SEC document |
| October 07, 2020 Filed Oct 15, 2020 11:49 UTC |
EHRMAN KENNETH SDirector
|
GrantCommon Stock, par value $0.001 | 658 | $3.80 | $2,500.40 |
DisclosureSEC source: 0001553350-20-000929 · ownership.xml · nonDerivative · entry 1 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 11,383 F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer. Read SEC document |
| October 07, 2020 Filed Oct 15, 2020 15:51 UTC |
MAVROMMATIS NEDDirector
|
GrantCommon Stock, $0.001 par value | 658 | $3.80 | $2,500.40 |
DisclosureSEC source: 0001553350-20-000931 · ownership.xml · nonDerivative · entry 1 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,266 F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer. Read SEC document |
| October 07, 2020 Filed Oct 15, 2020 11:51 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
|
GrantCommon Stock, par value $0.001 | 658 | $3.80 | $2,500.40 |
DisclosureSEC source: 0001553350-20-000930 · fonda4.xml · nonDerivative · entry 1 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,163 F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer. Read SEC document |
| August 20, 2020 Filed Aug 21, 2020 16:37 UTC |
EHRMAN KENNETH SDirector
|
GrantCommon Stock, par value $0.001 | 1,965 | $5.00 | $9,825.00 |
DisclosureSEC source: 0001553350-20-000793 · ownership.xml · nonDerivative · entry 1 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,725 F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer. Read SEC document |
| August 20, 2020 Filed Aug 21, 2020 16:22 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
|
GrantCommon Stock, par value $0.001 | 1,965 | $5.00 | $9,825.00 |
DisclosureSEC source: 0001553350-20-000791 · fonda4.xml · nonDerivative · entry 1 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,505 F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer. Read SEC document |
| August 19, 2020 Filed Aug 21, 2020 20:24 UTC |
MAVROMMATIS NEDDirector
|
GrantCommon Stock, $0.001 par value | 1,965 | $5.00 | $9,825.00 |
DisclosureSEC source: 0001553350-20-000792 · ownership.xml · nonDerivative · entry 1 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,608 F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer. Read SEC document |
| July 08, 2020 Filed Jul 10, 2020 21:24 UTC |
MAVROMMATIS NEDDirector
|
GrantCommon Stock, $0.001 par value | 544 | $4.60 | $2,502.40 |
DisclosureSEC source: 0001553350-20-000607 · ownership.xml · nonDerivative · entry 1 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,643 F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer. Read SEC document |
| July 08, 2020 Filed Jul 14, 2020 10:57 UTC |
EHRMAN KENNETH SDirector
|
GrantCommon Stock, par value $0.001 | 544 | $4.60 | $2,502.40 |
DisclosureSEC source: 0001553350-20-000620 · ownership.xml · nonDerivative · entry 1 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,760 F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer. Read SEC document |
| July 08, 2020 Filed Jul 14, 2020 09:55 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
|
GrantCommon Stock, par value $0.001 | 544 | $4.60 | $2,502.40 |
DisclosureSEC source: 0001553350-20-000619 · fonda4.xml · nonDerivative · entry 2 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,540 F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer. Read SEC document |
| May 21, 2020 Filed Jun 1, 2020 22:49 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
PurchaseCommon Stock, par value $0.001 | 400 | $4.65 | $1,858.40 |
DisclosureSEC source: 0001553350-20-000504 · arcaini4.xml · nonDerivative · entry 3 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 500 F1 · balance_after: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F1 · ownership.direct: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F2 · ownership.nature: Held in the name of Mr. Arcaini's wife. Read SEC document |
| May 21, 2020 Filed Jun 1, 2020 22:49 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
PurchaseCommon Stock, par value $0.001 | 70 | $4.75 | $332.50 |
DisclosureSEC source: 0001553350-20-000504 · arcaini4.xml · nonDerivative · entry 2 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 100 F1 · balance_after: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F1 · ownership.direct: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F2 · ownership.nature: Held in the name of Mr. Arcaini's wife. Read SEC document |
| May 18, 2020 Filed Jun 1, 2020 22:49 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
SaleCommon Stock, par value $0.001 | 4 | $4.87 | $19.48 |
DisclosureSEC source: 0001553350-20-000504 · arcaini4.xml · nonDerivative · entry 1 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 30 F1 · balance_after: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F1 · ownership.direct: Excluding 50,039 shares of Common Stock directly held in the name of Mr. Arcaini. F2 · ownership.nature: Held in the name of Mr. Arcaini's wife. Read SEC document |
| May 15, 2020 Filed May 19, 2020 21:28 UTC |
Goldfarb Adrian GrahamDirector · CFO
|
PurchaseCommon Stock, par value $0.001 | 171 | $4.46 | $762.66 |
DisclosureSEC source: 0001553350-20-000479 · goldfarb4.xml · nonDerivative · entry 1 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,198 F1 · balance_after: Excludes 15,229 warrants to purchase common stock. F2 · balance_after: Excludes 37,858 options to purchase common stock. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 20:42 UTC |
MAVROMMATIS NEDDirector
|
GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000291 · ownership.xml · derivative · entry 4 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,144 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F3 · derivative.exercise_date: 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 20:42 UTC |
MAVROMMATIS NEDDirector
|
GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000291 · ownership.xml · derivative · entry 3 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,572 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 20:42 UTC |
MAVROMMATIS NEDDirector
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000291 · ownership.xml · derivative · entry 2 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,572 shares Expires not disclosed F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.exercise_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.expiration_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 20:42 UTC |
MAVROMMATIS NEDDirector
|
GrantCommon Stock, $0.001 par value | 537 | $4.66 | $2,502.42 |
DisclosureSEC source: 0001553350-20-000291 · ownership.xml · nonDerivative · entry 1 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,099 F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 19:11 UTC |
Goldfarb Adrian GrahamDirector · CFO
|
GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000290 · goldfarb4.xml · derivative · entry 3 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,087 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F2 · derivative.exercise_date: 9,465 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 9,464 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 19:11 UTC |
Goldfarb Adrian GrahamDirector · CFO
|
GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000290 · goldfarb4.xml · derivative · entry 2 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,158 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 19:11 UTC |
Goldfarb Adrian GrahamDirector · CFO
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000290 · goldfarb4.xml · derivative · entry 1 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,229 Underlying: Common Stock · 18,929 shares Expires not disclosed F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.exercise_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.expiration_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 21:56 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
GrantOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000292 · arcaini4.xml · derivative · entry 3 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,435 Underlying: Common Stock · 50,358 shares Expires 2025-04-01 F3 · derivative.exercise_date: 25,179 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 25,179 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. F2 · ownership.direct: Excluding 8,492 warrants to purchase shares of common stock held in the name of Robex International, Inc., a Florida corporation in which Mr. Arcaini owns 95% and has sole dispositive voting power over such warrants. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 21:56 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
GrantOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000292 · arcaini4.xml · derivative · entry 2 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,077 Underlying: Common Stock · 50,358 shares Expires 2025-04-01 F1 · shares: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · ownership.direct: Excluding 8,492 warrants to purchase shares of common stock held in the name of Robex International, Inc., a Florida corporation in which Mr. Arcaini owns 95% and has sole dispositive voting power over such warrants. Read SEC document |
| April 01, 2020 Filed Apr 2, 2020 21:56 UTC |
Arcaini Gianni BDirector · Chairman & CEO
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000292 · arcaini4.xml · derivative · entry 1 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,719 Underlying: Common Stock · 50,358 shares Expires not disclosed F1 · shares: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.exercise_date: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.expiration_date: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · ownership.direct: Excluding 8,492 warrants to purchase shares of common stock held in the name of Robex International, Inc., a Florida corporation in which Mr. Arcaini owns 95% and has sole dispositive voting power over such warrants. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 12:59 UTC |
EHRMAN KENNETH SDirector
|
GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000294 · ownership.xml · derivative · entry 4 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,144 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F3 · derivative.exercise_date: 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 12:59 UTC |
EHRMAN KENNETH SDirector
|
GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000294 · ownership.xml · derivative · entry 3 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,572 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 12:59 UTC |
EHRMAN KENNETH SDirector
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000294 · ownership.xml · derivative · entry 2 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,572 shares Expires not disclosed F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.exercise_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.expiration_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 12:59 UTC |
EHRMAN KENNETH SDirector
|
GrantCommon Stock, par value $0.001 | 537 | $4.66 | $2,502.42 |
DisclosureSEC source: 0001553350-20-000294 · ownership.xml · nonDerivative · entry 1 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,216 F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 16:27 UTC |
Weeks Connie L.Chief Accounting Officer
|
GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000293 · ownership.xml · derivative · entry 3 Weeks Connie L. · CIK 0001739897 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,858 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F2 · derivative.exercise_date: 9,465 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 9,464 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 16:27 UTC |
Weeks Connie L.Chief Accounting Officer
|
GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000293 · ownership.xml · derivative · entry 2 Weeks Connie L. · CIK 0001739897 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,929 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 16:27 UTC |
Weeks Connie L.Chief Accounting Officer
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000293 · ownership.xml · derivative · entry 1 Weeks Connie L. · CIK 0001739897 · Chief Accounting Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,929 shares Expires not disclosed F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.exercise_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.expiration_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed May 26, 2020 18:29 UTC Amendment |
Goldfarb Adrian GrahamDirector · CFO
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GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000486 · goldfarb4.xml · derivative · entry 3 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,858 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F2 · derivative.exercise_date: 9,465 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 9,464 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed May 26, 2020 18:29 UTC Amendment |
Goldfarb Adrian GrahamDirector · CFO
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GrantOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000486 · goldfarb4.xml · derivative · entry 2 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 18,929 Underlying: Common Stock · 18,929 shares Expires 2025-04-01 F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed May 26, 2020 18:29 UTC Amendment |
Goldfarb Adrian GrahamDirector · CFO
|
Disposition to issuerOptions to purchase Common Stock · Derivative | 18,929 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000486 · goldfarb4.xml · derivative · entry 1 Goldfarb Adrian Graham · CIK 0001427103 · Director · CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 18,929 shares Expires not disclosed F1 · shares: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.exercise_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.expiration_date: 18,929 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 18,929 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed May 26, 2020 19:32 UTC Amendment |
Arcaini Gianni BDirector · Chairman & CEO
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GrantOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000487 · arcaini4.xml · derivative · entry 3 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,716 Underlying: Common Stock · 50,358 shares Expires 2025-04-01 F2 · derivative.exercise_date: 25,179 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 25,179 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed May 26, 2020 19:32 UTC Amendment |
Arcaini Gianni BDirector · Chairman & CEO
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GrantOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000487 · arcaini4.xml · derivative · entry 2 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,358 Underlying: Common Stock · 50,358 shares Expires 2025-04-01 F1 · shares: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed May 26, 2020 19:32 UTC Amendment |
Arcaini Gianni BDirector · Chairman & CEO
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Disposition to issuerOptions to purchase Common Stock · Derivative | 50,358 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000487 · arcaini4.xml · derivative · entry 1 Arcaini Gianni B · CIK 0001651718 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,358 shares Expires not disclosed F1 · shares: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.exercise_date: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F1 · derivative.expiration_date: 50,358 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 50,358 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Jul 14, 2020 09:55 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
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GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $4.74 | $0.00 |
DisclosureSEC source: 0001553350-20-000619 · fonda4.xml · derivative · entry 5 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,144 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F3 · derivative.exercise_date: 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2021. The remaining 4,286 Options to purchase Shares of Common Stock shall vest and become exercisable on 01/01/2022. Read SEC document |
| April 01, 2020 Filed Jul 14, 2020 09:55 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
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GrantOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $6.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000619 · fonda4.xml · derivative · entry 4 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,572 Underlying: Common Stock · 8,572 shares Expires 2025-04-01 F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Jul 14, 2020 09:55 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
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Disposition to issuerOptions to purchase Common Stock · Derivative | 8,572 | $0.00 Strike: $14.00 | $0.00 |
DisclosureSEC source: 0001553350-20-000619 · fonda4.xml · derivative · entry 3 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 8,572 shares Expires not disclosed F2 · shares: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.exercise_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. F2 · derivative.expiration_date: 8,572 previously issued Options to purchase shares of Common Stock were cancelled by the issuer, and 8,572 Options to purchase shares of Common Stock at a lower exercise price were issued as a replacement. Read SEC document |
| April 01, 2020 Filed Jul 14, 2020 09:55 UTC |
Fonda Blair MadisonDirector · Audit Committee Chairman
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GrantCommon Stock, par value $0.001 | 537 | $4.66 | $2,502.42 |
DisclosureSEC source: 0001553350-20-000619 · fonda4.xml · nonDerivative · entry 1 Fonda Blair Madison · CIK 0001737486 · Director · Audit Committee Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,996 F1 · kind: The shares were issued to Mr. Fonda as compensation shares for his services as a Director of the Issuer. Read SEC document |
| February 14, 2020 Filed Feb 15, 2020 02:06 UTC |
Bleichroeder LP10% owner
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PurchaseCommon Stock | 100 | $5.98 | $597.50 |
DisclosureSEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 3 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 498,258 F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 13, 2020 Filed Feb 15, 2020 02:06 UTC |
Bleichroeder LP10% owner
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PurchaseCommon Stock | 1,200 | $5.98 | $7,174.44 |
DisclosureSEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 2 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 498,158 F1 · price: The reported price in Column 4 is a weighted average price. These shares were bought in multiple transactions. Prices ranged from $5.97 to $5.98 per share, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 13, 2020 Filed Feb 15, 2020 02:06 UTC |
Bleichroeder LP10% owner
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PurchaseCommon Stock | 166,600 | $6.00 | $999,600.00 |
DisclosureSEC source: 0001781002-20-000025 · primary_doc.xml · nonDerivative · entry 1 Bleichroeder LP · CIK 0001781002 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 496,958 F2 · ownership.nature: The shares of Common Stock reported herein are indirectly beneficially owned by Bleichroeder, LP ("Bleichroeder"), a Delaware limited partnership, an investment adviser registered under the Investment Advisers Act of 1940. Bleichroeder is the registered investment adviser to Biotechnology Master Fund, Ltd. as well as to 21 April Fund, LP and 21 April Fund, Ltd. (collectively, the "Funds"). The shares of Common Stock reported herein are directly held by the Funds. Bleichroeder disclaims beneficial ownership of the shares of Common Stock held directly by the Funds except to the extent, if any, of its pecuniary interest therein, and this report shall not be deemed an admission that Bleichroeder is the beneficial owner of any such securities. Read SEC document |
| February 13, 2020 Filed Sep 3, 2021 14:47 UTC |
PESSIN NORMAN H10% owner
Pessin Brian L.10% owner
PESSIN SANDRA F10% owner
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PurchaseCommon Stock | 58,300 | $6.00 | $349,800.00 |
DisclosureSEC source: 0001140361-21-030352 · form4.xml · nonDerivative · entry 1 PESSIN NORMAN H · CIK 0000923666 · 10% owner Pessin Brian L. · CIK 0001582758 · 10% owner PESSIN SANDRA F · CIK 0000936979 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,972 F1 · security: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. F1 · price: This Form 4 is filed jointly by Norman H. Pessin, Brian L. Pessin and Sandra F. Pessin (collectively, the "Reporting Persons"). Each Reporting Person may be deemed to be a member of a Section 13(d) group, that may be deemed to collectively beneficially own more than 10% of the Issuer's outstanding shares of common stock. Each Reporting Person disclaims beneficial ownership of the shares of common stock reported herein except to the extent of his or her pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of common stock for purposes of Section 16 or for any other purpose. Read SEC document |
| October 16, 2019 Filed Oct 18, 2019 18:29 UTC |
MAVROMMATIS NEDDirector
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GrantCommon Stock, $0.001 par value | 2,494 | $0.50 | $1,247.00 |
DisclosureSEC source: 0001553350-19-001068 · ownership.xml · nonDerivative · entry 1 MAVROMMATIS NED · CIK 0001113291 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,994 F1 · kind: The shares were issued to Mr. Mavrommatis as compensation shares for his services as a Director of the Issuer. Read SEC document |
| September 30, 2019 Filed Nov 5, 2019 15:29 UTC |
EHRMAN KENNETH SDirector
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GrantCommon Stock, par value $0.001 | 4,987 | $0.50 | $2,493.50 |
DisclosureSEC source: 0001553350-19-001130 · ownership.xml · nonDerivative · entry 2 EHRMAN KENNETH S · CIK 0001107329 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,128 F1 · kind: The shares were issued to Mr. Ehrman as compensation shares for his services as a Director of the Issuer. F2 · balance_after: Excludes 120,000 options to purchase common stock as previously reported by Mr. Ehrman on August 15, 2019. Read SEC document |
| September 25, 2019 Filed Sep 27, 2019 15:55 UTC |
21 APRIL FUND, LTD.10% owner
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PurchaseWarrants · Derivative | 625,000 | $0.00 Strike: $0.55 | $625.00 |
DisclosureSEC source: 0001459708-19-000001 · primary_doc.xml · derivative · entry 2 21 APRIL FUND, LTD. · CIK 0001459708 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 625,000 Underlying: Common Stock · 625,000 shares Expires 2024-09-25 F3 · price: The Warrants were issued to the Reporting Person in connection with the Reporting Person extending a loan to the Company. F2 · derivative.underlying_shares: Consists of warrants to acquire 458,125 shares owned by the Reporting Person and warrants to acquire 166,875 shares held by 21 April Fund, LP, an affiliate of the Reporting Person. The Reporting Person disclaims beneficial ownership of the warrants reported herein except to the extent of the Reporting Person's pecuniary interest therein, and this report shall not be deemed to be an admission that the Reporting Person is the beneficial owner of such warrants for purposes of Section 16 or for any other purpose. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.