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Nasdaq · USD

ERNA

Ernexa Therapeutics Inc.

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8278
SEC CIK
0000748592
Parsed reports
266

Last 12 months

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1 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
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MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202610
Mar 202600
Apr 202600
May 202600
Jun 202600
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Sep 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
October 21, 2020 Filed Oct 22, 2020 00:00 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 2,453 $2.05 $5,028.65
Disclosure

SEC source: 0001493152-20-019769 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 142,205

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on October 21, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on October 21, 2020. No shares were sold in connection with this transaction.

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October 21, 2020 Filed Oct 22, 2020 00:00 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 1,178 $2.05 $2,414.90
Disclosure

SEC source: 0001493152-20-019770 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 29,540

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on October 21, 2020. No shares were sold in connection with this transaction.

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September 22, 2020 Filed Sep 23, 2020 23:15 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 97 $1.99 $193.03
Disclosure

SEC source: 0001493152-20-018250 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,718

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on September 22, 2020. No shares were sold in connection with this transaction.

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September 22, 2020 Filed Sep 23, 2020 23:00 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 170 $1.99 $338.30
Disclosure

SEC source: 0001493152-20-018247 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,658

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on September 22, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on September 22, 2020. No shares were sold in connection with this transaction.

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August 25, 2020 Filed Aug 26, 2020 23:05 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 170 $2.62 $445.40
Disclosure

SEC source: 0001493152-20-016790 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,828

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on August 25, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on August 25, 2020. No shares were sold in connection with this transaction.

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August 25, 2020 Filed Aug 26, 2020 23:05 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 98 $2.62 $256.76
Disclosure

SEC source: 0001493152-20-016789 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,815

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on August 25, 2020. No shares were sold in connection with this transaction.

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August 13, 2020 Filed Aug 17, 2020 21:01 UTC SaleCommon Stock, $0.005 par value 170,900 $5.33 $910,059.59
Disclosure

SEC source: 0001213900-20-022542 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 16,194

F3 · shares: Represents shares sold by Trinad Capital Master Fund, Ltd. ("Trinad Capital").

F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $2.96 to $7.38, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer or the staff of the SEC, upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 2.

F4 · ownership.nature: Represents shares of the NTN Buzztime, Inc.'s common stock owned by Trinad Capital, as the Reporting Person, the Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares.

F5 · ownership.nature: Each of the Reporting Person, Trinad Capital and Trinad Capital Management, LLC ("Trinad Management") disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vi) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital.

F6 · ownership.nature: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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August 13, 2020 Filed Aug 17, 2020 21:01 UTC SaleCommon Stock, $0.005 par value 156,750 $5.79 $906,908.48
Disclosure

SEC source: 0001213900-20-022542 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 421

F1 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $3.30 to $7.70, inclusive. The Reporting Person undertakes to provide to LiveXLive Media, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 1.

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July 28, 2020 Filed Jul 28, 2020 22:00 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 1,178 $1.85 $2,179.30
Disclosure

SEC source: 0001493152-20-014118 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 30,913

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on July 28, 2020. No shares were sold in connection with this transaction.

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July 28, 2020 Filed Jul 28, 2020 22:00 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 2,453 $1.85 $4,538.05
Disclosure

SEC source: 0001493152-20-014117 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 144,998

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on July 28, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on July 28, 2020. No shares were sold in connection with this transaction.

Read SEC document
June 29, 2020 Filed Jun 30, 2020 20:30 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 170 $3.15 $535.50
Disclosure

SEC source: 0001493152-20-012285 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,451

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on June 29, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on June 29, 2020. No shares were sold in connection with this transaction.

Read SEC document
June 29, 2020 Filed Jun 30, 2020 20:30 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 97 $3.15 $305.55
Disclosure

SEC source: 0001493152-20-012284 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,091

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on June 29, 2020. No shares were sold in connection with this transaction.

Read SEC document
June 17, 2020 Filed Jun 19, 2020 01:09 UTC SaleCommon Stock, $0.005 par value 12,400 $6.01 $74,524.00
Disclosure

SEC source: 0001213900-20-015308 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 187,094

F2 · shares: These shares were sold by Trinad Capital Master Fund, Ltd. ("Trinad Capital").

F3 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $4.12 to $6.50, inclusive. The Reporting Person undertakes to provide to the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares sold at each separate price within the range set forth in this footnote 3.

F4 · ownership.nature: Represents shares of the NTN Buzztime, Inc.'s common stock owned by Trinad Capital, as the Reporting Person, the Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares.

F5 · ownership.nature: Each of the Reporting Person, Trinad Capital, Trinad Capital Management, LLC ("Trinad Management") and JJAT disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital and JJAT as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, (vi) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vii) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital or JJAT.

F6 · ownership.nature: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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June 16, 2020 Filed Jun 19, 2020 01:09 UTC SaleCommon Stock, $0.005 par value 100 $3.86 $386.00
Disclosure

SEC source: 0001213900-20-015308 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 199,494

F1 · shares: These shares were sold by JJAT Corp. ("JJAT"). The Reporting Person as the owner of JJAT is deemed to have sole voting and dispositive power over such shares.

F4 · ownership.nature: Represents shares of the NTN Buzztime, Inc.'s common stock owned by Trinad Capital, as the Reporting Person, the Portfolio Manager of Trinad Capital, is deemed to have sole voting and dispositive power over such shares.

F5 · ownership.nature: Each of the Reporting Person, Trinad Capital, Trinad Capital Management, LLC ("Trinad Management") and JJAT disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital and JJAT as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, (vi) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vii) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital or JJAT.

F6 · ownership.nature: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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June 03, 2020 Filed Jun 4, 2020 17:50 UTC SaleCommon Stock 21,932 $1.10 $24,059.40
Disclosure

SEC source: 0001493152-20-010545 · ownership.xml · nonDerivative · entry 1

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 276,100

F1 · shares: The reporting person is no longer a 10% Owner after the sale of the 21,932 shares reported on the transaction date. This filing also constitutes a Form 4 "exit filing" for the reporting person as the reporting person is no longer subject to Section 16 under the Securities Exchange Act of 1934, as amended, as of the date of this filing.

F2 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.00 to not more than $1.12. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F3 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
June 02, 2020 Filed Jun 3, 2020 16:01 UTC SaleCommon Stock 30,730 $0.99 $30,422.70
Disclosure

SEC source: 0001493152-20-010447 · ownership.xml · nonDerivative · entry 2

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 297,440

F3 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $0.95 to not more than $1.05. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
June 01, 2020 Filed Jun 3, 2020 16:01 UTC SaleCommon Stock 30,000 $1.06 $31,770.00
Disclosure

SEC source: 0001493152-20-010447 · ownership.xml · nonDerivative · entry 1

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 328,170

F1 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.02 to not more than $1.08. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 29, 2020 Filed Jun 1, 2020 13:32 UTC SaleCommon Stock 25,000 $1.06 $26,450.00
Disclosure

SEC source: 0001493152-20-010219 · ownership.xml · nonDerivative · entry 2

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 358,170

F3 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.05 to not more than $1.12. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 28, 2020 Filed Jun 1, 2020 13:32 UTC SaleCommon Stock 12,338 $1.08 $13,349.72
Disclosure

SEC source: 0001493152-20-010219 · ownership.xml · nonDerivative · entry 1

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 383,170

F1 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.05 to not more than $1.17. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 27, 2020 Filed May 29, 2020 10:11 UTC SaleCommon Stock 5,000 $1.11 $5,540.00
Disclosure

SEC source: 0001493152-20-010087 · ownership.xml · nonDerivative · entry 2

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 395,508

F3 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.08 to not more than $1.13. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 26, 2020 Filed May 29, 2020 10:11 UTC SaleCommon Stock 20,000 $1.09 $21,780.00
Disclosure

SEC source: 0001493152-20-010087 · ownership.xml · nonDerivative · entry 1

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 400,508

F1 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $1.07 to not more than $1.16. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

Read SEC document
May 20, 2020 Filed May 20, 2020 23:12 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 115 $1.55 $178.25
Disclosure

SEC source: 0001493152-20-009579 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,188

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on May 20, 2020. No shares were sold in connection with this transaction.

Read SEC document
May 20, 2020 Filed May 20, 2020 23:10 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 164 $1.55 $254.20
Disclosure

SEC source: 0001493152-20-009577 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,621

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on May 20, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on May 20, 2020. No shares were sold in connection with this transaction.

Read SEC document
April 21, 2020 Filed Apr 22, 2020 12:01 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 1,392 $1.21 $1,684.32
Disclosure

SEC source: 0001493152-20-006884 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 32,303

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on April 21, 2020. No shares were sold in connection with this transaction.

Read SEC document
April 21, 2020 Filed Apr 22, 2020 12:00 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 2,363 $1.21 $2,859.23
Disclosure

SEC source: 0001493152-20-006883 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 147,785

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on April 21, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on April 21, 2020. No shares were sold in connection with this transaction.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 01:26 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 10,580 $1.48 $15,658.40
Disclosure

SEC source: 0001493152-20-005355 · ownership.xml · nonDerivative · entry 2

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 151,222

F2 · shares: Shares issued in lieu of a cash payout of the incentive compensation earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the cash payout earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

F2 · price: Shares issued in lieu of a cash payout of the incentive compensation earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the cash payout earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 01:26 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 1,074 $1.48 $1,589.52
Disclosure

SEC source: 0001493152-20-005355 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,642

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the salary earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the salary earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 23:32 UTC Amendment
Wolff AllenDirector · CEO
GrantCommon Stock 9,506 $1.48 $14,068.88
Disclosure

SEC source: 0001493152-20-005524 · ownership.xml · nonDerivative · entry 2

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 150,148

F2 · shares: Shares issued in lieu of a cash payout of the incentive compensation earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the cash payout earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

F2 · price: Shares issued in lieu of a cash payout of the incentive compensation earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the cash payout earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

Read SEC document
March 27, 2020 Filed Mar 31, 2020 23:32 UTC Amendment
Wolff AllenDirector · CEO
GrantCommon Stock 1,271 $1.48 $1,881.08
Disclosure

SEC source: 0001493152-20-005524 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 140,642

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the salary earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance. The number of shares issued is equal to the equivalent value of the salary earned net of amounts withheld by the issuer to satisfy tax withholding requirements divided by the closing price.

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March 25, 2020 Filed Mar 26, 2020 01:12 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 207 $1.48 $306.36
Disclosure

SEC source: 0001493152-20-004753 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,371

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on March 25, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on March 25, 2020. No shares were sold in connection with this transaction.

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March 25, 2020 Filed Mar 26, 2020 01:07 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 114 $1.48 $168.72
Disclosure

SEC source: 0001493152-20-004751 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,695

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on March 25, 2020. No shares were sold in connection with this transaction.

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March 13, 2020 Filed Mar 16, 2020 21:30 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 947 $1.75 $1,657.25
Disclosure

SEC source: 0001493152-20-004098 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 139,578

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

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February 28, 2020 Filed Mar 2, 2020 22:00 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 778 $2.13 $1,657.14
Disclosure

SEC source: 0001493152-20-003225 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,631

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

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February 25, 2020 Filed Feb 26, 2020 13:00 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 115 $2.05 $235.75
Disclosure

SEC source: 0001493152-20-002967 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,809

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on February 25, 2020. No shares were sold in connection with this transaction.

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February 25, 2020 Filed Feb 26, 2020 13:00 UTC
Wolff AllenDirector · CEO
Tax withholdingCommon Stock 285 $2.05 $584.25
Disclosure

SEC source: 0001493152-20-002966 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,853

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on February 25, 2020. No shares were sold in connection with this transaction.

F1 · price: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on February 25, 2020. No shares were sold in connection with this transaction.

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February 14, 2020 Filed Feb 18, 2020 22:00 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 877 $1.89 $1,657.53
Disclosure

SEC source: 0001493152-20-002665 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 138,138

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

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January 31, 2020 Filed Feb 4, 2020 01:00 UTC
Wolff AllenDirector · CEO
GrantCommon Stock 743 $2.23 $1,656.89
Disclosure

SEC source: 0001493152-20-001536 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Director · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 137,261

F1 · shares: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

F1 · price: Shares issued in lieu of salary earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The price is the closing price of the issuer's common stock on the date of issuance.

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January 29, 2020 Filed Feb 1, 2020 01:00 UTC GrantCommon Stock 5,102 $0.00 $0.00
Disclosure

SEC source: 0001493152-20-001471 · ownership.xml · nonDerivative · entry 3

Wolff Allen · CIK 0001628529 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 136,518

F3 · shares: Shares issued in lieu of a cash payout of the incentive compensation earned by the reporting person. Such shares were issued under the NTN Buzztime, Inc. 2019 Performance Incentive Plan.

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January 29, 2020 Filed Feb 1, 2020 01:00 UTC Tax withholdingCommon Stock 285 $2.43 $692.55
Disclosure

SEC source: 0001493152-20-001471 · ownership.xml · nonDerivative · entry 2

Wolff Allen · CIK 0001628529 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,416

F2 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on January 29, 2020. No shares were sold in connection with this transaction.

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January 29, 2020 Filed Feb 1, 2020 01:00 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 114 $2.43 $277.02
Disclosure

SEC source: 0001493152-20-001470 · ownership.xml · nonDerivative · entry 2

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,924

F2 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on January 29, 2020. No shares were sold in connection with this transaction.

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January 19, 2020 Filed Feb 1, 2020 01:00 UTC GrantCommon Stock 75,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-20-001471 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 131,701

F1 · shares: Represents shares subject to a restricted stock unit award granted under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The award will vest as to 12.5% of the shares subject to the award on the three-month anniversary of the grant date and on each three month anniversary thereafter in substantially equal installments, in each case, subject to the reporting person's continued service to the issuer as of the applicable vesting date.

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January 19, 2020 Filed Feb 1, 2020 01:00 UTC
Gurrola Sandra MSVP of Finance
GrantCommon Stock 25,000 $0.00 $0.00
Disclosure

SEC source: 0001493152-20-001470 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,038

F1 · shares: Represents shares subject to a restricted stock unit award granted under the NTN Buzztime, Inc. 2019 Performance Incentive Plan. The award will vest as to 12.5% of the shares subject to the award on the three-month anniversary of the grant date and on each three month anniversary thereafter in substantially equal installments, in each case, subject to the reporting person's continued service to the issuer as of the applicable vesting date.

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December 31, 2019 Filed Jan 3, 2020 00:45 UTC GrantCommon Stock 3,851 $0.00 $0.00
Disclosure

SEC source: 0001493152-20-000071 · ownership.xml · nonDerivative · entry 1

Simtob Richard Isaac · CIK 0001710390 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 55,939

F1 · shares: This restricted stock grant was issued to the reporting person under the NTN Buzztime, Inc. 2019 Performance Incentive Plan and pursuant to the NTN Buzztime, Inc. Non-Employee Director Compensation Policy in lieu of the annual retainer earned by the reporting person in his capacity as a non-employee director of the issuer with respect to the quarter ended December 31, 2019. This restricted stock grant was fully-vested on the date of grant.

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December 23, 2019 Filed Dec 26, 2019 21:30 UTC SaleCommon Stock 200 $2.45 $490.00
Disclosure

SEC source: 0001493152-19-019726 · ownership.xml · nonDerivative · entry 2

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 421,100

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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December 20, 2019 Filed Dec 26, 2019 21:30 UTC SaleCommon Stock 1,700 $2.72 $4,624.00
Disclosure

SEC source: 0001493152-19-019726 · ownership.xml · nonDerivative · entry 1

Berg Jeffrey Alan · CIK 0001443481 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 421,300

F1 · price: The price reported is a weighted average. These shares were sold in multiple transactions at prices ranging from not less than $2.57 to not more than $2.87. The reporting person undertakes to the issuer, any security holder of the issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the shares sold at each separate price within the ranges set forth in the footnotes to this Form 4 that report a range of prices.

F2 · ownership.nature: Shares held of record by Matador Capital Partners, L.P. The reporting person is the managing member of BFK Investments LLC, which is the general partner of Matador Capital Partners, L.P. The reporting person disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.

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December 20, 2019 Filed Dec 28, 2019 02:00 UTC PurchaseCommon Stock, $0.005 par value 300 $2.83 $849.99
Disclosure

SEC source: 0001213900-19-027131 · ownership.xml · nonDerivative · entry 2

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 199,494

F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital").

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.75 to $2.88, inclusive. The Reporting Person undertakes to provide to NTN Buzztime, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2.

F3 · ownership.nature: Represents shares of the Issuer's common stock owned by Trinad Capital and JJAT Corp. ("JJAT"), as the Reporting Person, the Portfolio Manager of Trinad Capital and owner of JJAT, is deemed to have sole voting and dispositive power over such shares.

F4 · ownership.nature: Each of the Reporting Person, Trinad Capital, Trinad Capital Management, LLC ("Trinad Management") and JJAT disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital and JJAT as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, (vi) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vii) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital or JJAT.

F5 · ownership.nature: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 20, 2019 Filed Dec 28, 2019 02:00 UTC PurchaseCommon Stock, $0.005 par value 100 $2.77 $277.00
Disclosure

SEC source: 0001213900-19-027131 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 157,171

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December 19, 2019 Filed Dec 20, 2019 22:00 UTC
Wolff AllenInterim CEO
Tax withholdingCommon Stock 242 $2.73 $660.66
Disclosure

SEC source: 0001493152-19-019540 · ownership.xml · nonDerivative · entry 1

Wolff Allen · CIK 0001628529 · Interim CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,701

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on December 19, 2019. No shares were sold in connection with this transaction.

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December 19, 2019 Filed Dec 21, 2019 02:01 UTC PurchaseCommon Stock, $0.005 par value 299 $2.72 $814.30
Disclosure

SEC source: 0001213900-19-026740 · ownership.xml · nonDerivative · entry 1

ELLIN ROBERT S · CIK 0001071292 · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See footnotes

Disclosed balance after: 199,294

F1 · shares: These shares were purchased by Trinad Capital Master Fund, Ltd. ("Trinad Capital").

F2 · price: The price reported is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.70 to $2.75, inclusive. The Reporting Person undertakes to provide to NTN Buzztime, Inc. (the "Issuer"), any security holder of the Issuer or the staff of the U.S. Securities and Exchange Commission (the "SEC"), upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote 2.

F3 · ownership.nature: Represents shares of the Issuer's common stock owned by Trinad Capital and JJAT Corp. ("JJAT"), as the Reporting Person, the Portfolio Manager of Trinad Capital and owner of JJAT, is deemed to have sole voting and dispositive power over such shares.

F4 · ownership.nature: Each of the Reporting Person, Trinad Capital, Trinad Capital Management, LLC ("Trinad Management") and JJAT disclaim beneficial ownership of the reported securities except for the (i) personal and direct beneficial ownership of the Reporting Person as reported herein, (ii) direct beneficial ownership of Trinad Capital and JJAT as reported herein, (iii) indirect interest of Trinad Management by virtue of being the Managing Director of Trinad Capital, (iv) indirect interest of the Reporting Person by virtue of being the Managing Member of Trinad Management, (v) indirect interest of the Reporting Person by virtue of being a shareholder of JJAT, (vi) indirect interest of the Reporting Person by virtue of being a shareholder and Portfolio Manager of Trinad Capital, and (vii) Reporting Person's and/or Trinad Management's pecuniary interest in the securities reported herein as directly beneficially owned by Trinad Capital or JJAT.

F5 · ownership.nature: This report shall not be deemed an admission that the Reporting Person and/or Trinad Management is the beneficial owner of these securities for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose.

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December 19, 2019 Filed Dec 20, 2019 22:00 UTC
Gurrola Sandra MSVP of Finance
Tax withholdingCommon Stock 94 $2.73 $256.62
Disclosure

SEC source: 0001493152-19-019539 · ownership.xml · nonDerivative · entry 1

Gurrola Sandra M · CIK 0001618457 · SVP of Finance

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,038

F1 · shares: These shares were withheld by the issuer to satisfy statutory tax withholding requirements on vesting of restricted stock units. The number of shares to be withheld was determinable on December 19, 2019. No shares were sold in connection with this transaction.

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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.