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Nasdaq · USD

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PULSE BIOSCIENCES, INC.

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Tapewire entity
1151
SEC CIK
0001625101
Parsed reports
222

Last 12 months

Inside the activity.

8 purchase rows · 7 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202607
Mar 202600
Apr 202600
May 202640
Jun 202600
Jul 202600
Aug 202630
Sep 202610
Oct 202600

Latest available

Insider transactions

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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
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 100 $5.94 $594.00
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 6

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate Family Member (2)

Disclosed balance after: 834

Read SEC document
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 2,300 $5.94 $13,661.77
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 5

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate Family Member (1)

Disclosed balance after: 3,234

Read SEC document
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 200 $5.92 $1,184.00
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 4

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate Family Member (1)

Disclosed balance after: 934

Read SEC document
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 5,000 $5.94 $29,699.50
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 3

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse

Disclosed balance after: 9,135

Read SEC document
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 3,800 $5.88 $22,344.00
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 73,027

Read SEC document
November 15, 2023 Filed Nov 17, 2023 09:10 UTC
Levinson Mitchell E.Chief Strategy Officer
PurchaseCommon Stock 461 $5.83 $2,688.55
Disclosure

SEC source: 0001437749-23-032408 · rdgdoc.xml · nonDerivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 69,227

Read SEC document
November 13, 2023 Filed Nov 15, 2023 22:37 UTC Exercise / conversionStock Option (right to buy) · Derivative 56,075 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001437749-23-032198 · rdgdoc.xml · derivative · entry 7

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 56,075 shares

Expires 2032-05-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a quartetrly basis following the Company's 2022 Annual Stockholder Meeting.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 22:37 UTC Exercise / conversionStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001437749-23-032198 · rdgdoc.xml · derivative · entry 6

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 20,000 shares

Expires 2032-05-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a monthly basis following the Company's 2022 Annual Stockholder Meeting.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 22:37 UTC Exercise / conversionCommon Stock 56,075 $2.14 $120,000.50
Disclosure

SEC source: 0001437749-23-032198 · rdgdoc.xml · nonDerivative · entry 2

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 604,911

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 13, 2023 Filed Nov 15, 2023 22:37 UTC Exercise / conversionCommon Stock 20,000 $2.14 $42,800.00
Disclosure

SEC source: 0001437749-23-032198 · rdgdoc.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 548,836

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 07, 2023 Filed Nov 9, 2023 23:32 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 9,932 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-031322 · rdgdoc.xml · derivative · entry 5

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 29,799

Underlying: Common Stock · 9,932 shares

Expires 2033-05-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a quarterly basis following the Company's last Annual Stockholder Meeting.

Read SEC document
November 07, 2023 Filed Nov 9, 2023 23:32 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 3,333 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-031322 · rdgdoc.xml · derivative · entry 4

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 11,667

Underlying: Common Stock · 3,333 shares

Expires 2033-05-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting.

Read SEC document
November 07, 2023 Filed Nov 9, 2023 23:32 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 9,932 $5.95 $59,095.40
Disclosure

SEC source: 0001437749-23-031322 · rdgdoc.xml · nonDerivative · entry 2

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,246,556

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 07, 2023 Filed Nov 9, 2023 23:32 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 3,333 $5.95 $19,831.35
Disclosure

SEC source: 0001437749-23-031322 · rdgdoc.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,236,624

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 17:34 UTC
Levinson Mitchell E.Chief Strategy Officer
GrantStock Option (right to buy) · Derivative 100,000 $0.00 Strike: $4.38 $0.00
Disclosure

SEC source: 0001437749-23-030246 · rdgdoc.xml · derivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-11-01

F1 · derivative.exercise_date: 100% vesting upon the earlier of (i) the six (6) year anniversary of the grant date, and (ii) the 1-year anniversary of a Company change of control.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 21:36 UTC
UECKER DARRINDirector · Chief Technology Officer
GrantStock Option (right to buy) · Derivative 330,000 $0.00 Strike: $4.38 $0.00
Disclosure

SEC source: 0001437749-23-030248 · rdgdoc.xml · derivative · entry 1

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 330,000

Underlying: Common Stock · 330,000 shares

Expires 2033-11-01

F1 · derivative.exercise_date: 100% vesting upon the earlier of (i) the six (6) year anniversary of the grant date, and (ii) the 1-year anniversary of a Company change of control.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 21:41 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 460,000 $0.00 Strike: $4.38 $0.00
Disclosure

SEC source: 0001437749-23-030250 · rdgdoc.xml · derivative · entry 3

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 460,000

Underlying: Common Stock · 460,000 shares

Expires 2033-11-01

F3 · derivative.exercise_date: 100% vesting upon the earlier of (i) the six (6) year anniversary of the grant date, and (ii) the 1-year anniversary of a Company change of control.

Read SEC document
November 01, 2023 Filed Nov 3, 2023 21:41 UTC
Danahy Kevin PatrickChief Executive Officer
OtherStock Option (right to buy) · Derivative 130,000 $0.00 Strike: $3.96 $0.00
Disclosure

SEC source: 0001437749-23-030250 · rdgdoc.xml · derivative · entry 2

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 130,000 shares

Expires 2033-10-23

F2 · kind: Reporting Person was erroneously granted an option to acquire 130,000 shares on October 23, 2023, which option was cancelled by mutual agreement on November 1, 2023.

F1 · derivative.exercise_date: The shares will vest in four equal annual installments on each of the first four annual anniversaries of the grant date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
October 23, 2023 Filed Nov 3, 2023 21:41 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 130,000 $0.00 Strike: $3.96 $0.00
Disclosure

SEC source: 0001437749-23-030250 · rdgdoc.xml · derivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 130,000

Underlying: Common Stock · 130,000 shares

Expires 2033-10-23

F1 · derivative.exercise_date: The shares will vest in four equal annual installments on each of the first four annual anniversaries of the grant date, subject to the Reporting Person's continued service through each vesting date.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 00:08 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 1,667 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-024790 · rdgdoc.xml · derivative · entry 3

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 15,000

Underlying: Common Stock · 1,667 shares

Expires 2033-05-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting.

Read SEC document
August 25, 2023 Filed Aug 29, 2023 00:08 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 1,667 $5.95 $9,918.65
Disclosure

SEC source: 0001437749-23-024790 · rdgdoc.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,233,291

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 25, 2023 Filed Jul 27, 2023 13:09 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 1,667 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-020812 · rdgdoc.xml · derivative · entry 3

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 16,667

Underlying: Common Stock · 1,667 shares

Expires 2033-05-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting.

Read SEC document
July 25, 2023 Filed Jul 27, 2023 13:09 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 1,667 $5.95 $9,918.65
Disclosure

SEC source: 0001437749-23-020812 · rdgdoc.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,231,624

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 12, 2023 Filed Jul 14, 2023 20:25 UTC
Levinson Mitchell E.Chief Strategy Officer
GrantStock Option (right to buy) · Derivative 100,000 Not disclosed Strike: $7.08 Not disclosed
Disclosure

SEC source: 0001437749-23-019989 · rdgdoc.xml · derivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 100,000

Underlying: Common Stock · 100,000 shares

Expires 2033-07-12

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on July 12, 2023 under the Issuer's 2017 Equity Incentive Plan. The shares subject to the option are subject to four tranches of performance-based vesting criteria tied to Issuer's market capitalization, with no vesting until the Issuer's market capitalization exceeds $1 billion, in all cases, subject to the Reporting Person's continued service through each vesting milestone.

Read SEC document
July 12, 2023 Filed Jul 15, 2023 00:27 UTC
UECKER DARRINDirector · Chief Technology Officer
GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $7.08 Not disclosed
Disclosure

SEC source: 0001437749-23-019991 · rdgdoc.xml · derivative · entry 1

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-07-12

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on July 12, 2023 under the Issuer's 2017 Equity Incentive Plan. The shares subject to the option are subject to two tranches of performance-based vesting criteria tied to Issuer's market capitalization, with no vesting until the Issuer's market capitalization exceeds $4 billion, in both cases, subject to the Reporting Person's continued service through each vesting milestone.

Read SEC document
July 12, 2023 Filed Jul 15, 2023 00:29 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 200,000 Not disclosed Strike: $7.08 Not disclosed
Disclosure

SEC source: 0001437749-23-019993 · rdgdoc.xml · derivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 200,000

Underlying: Common Stock · 200,000 shares

Expires 2033-07-12

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on July 12, 2023 under the Issuer's 2017 Equity Incentive Plan. The shares subject to the option are subject to two tranches of performance-based vesting criteria tied to Issuer's market capitalization, with no vesting until the Issuer's market capitalization exceeds $4 billion, in both cases, subject to the Reporting Person's continued service through each vesting milestone.

Read SEC document
July 07, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 1,666 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · derivative · entry 7

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 18,334

Underlying: Common Stock · 1,666 shares

Expires 2033-05-25

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting.

Read SEC document
July 07, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 65,467 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · derivative · entry 6

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 65,467 shares

Expires 2032-05-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: All of the shares subject to the option are fully vested and exercisable as of the date hereof.

Read SEC document
July 07, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 1,666 $5.95 $9,912.70
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · nonDerivative · entry 3

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,229,957

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 07, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 65,467 $2.14 $140,099.38
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · nonDerivative · entry 2

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,228,291

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
July 05, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionStock Option (right to buy) · Derivative 65,000 $0.00 Strike: $2.14 $0.00
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · derivative · entry 5

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 65,467

Underlying: Common Stock · 65,000 shares

Expires 2032-05-19

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: All of the shares subject to the option are fully vested and exercisable as of the date hereof.

Read SEC document
July 05, 2023 Filed Jul 7, 2023 22:26 UTC
DUGGAN ROBERT WDirector · 10% owner
Exercise / conversionCommon Stock 65,000 $2.14 $139,100.00
Disclosure

SEC source: 0001437749-23-019620 · rdgdoc.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,162,824

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

Read SEC document
June 14, 2023 Filed Jun 16, 2023 20:12 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherWarrant (right to buy) · Derivative 81,025 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001387131-23-007625 · duggan-form4_061423.xml · derivative · entry 4

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 0

Underlying: Common Stock · 81,025 shares

Expires 2027-06-09

F1 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.

Read SEC document
June 14, 2023 Filed Jun 16, 2023 20:12 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherWarrant (right to buy) · Derivative 5,683,163 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001387131-23-007625 · duggan-form4_061423.xml · derivative · entry 3

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 5,683,163 shares

Expires 2027-06-09

Read SEC document
June 14, 2023 Filed Jun 16, 2023 20:12 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherCommon Stock 81,025 $2.05 $166,101.25
Disclosure

SEC source: 0001387131-23-007625 · duggan-form4_061423.xml · nonDerivative · entry 2

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Indirect · See footnote

Disclosed balance after: 492,069

F1 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.

Read SEC document
June 14, 2023 Filed Jun 16, 2023 20:12 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherCommon Stock 5,683,163 $2.05 $11,650,484.15
Disclosure

SEC source: 0001387131-23-007625 · duggan-form4_061423.xml · nonDerivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 36,097,824

Read SEC document
June 12, 2023 Filed Jun 13, 2023 21:25 UTC
UECKER DARRINDirector · Chief Technology Officer
OtherWarrant (right to buy) · Derivative 7,365 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017295 · rdgdoc.xml · derivative · entry 2

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,365 shares

Expires 2027-06-09

Read SEC document
June 12, 2023 Filed Jun 13, 2023 21:25 UTC
UECKER DARRINDirector · Chief Technology Officer
OtherCommon Stock 7,365 $2.05 $15,098.25
Disclosure

SEC source: 0001437749-23-017295 · rdgdoc.xml · nonDerivative · entry 1

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 877,636

Read SEC document
June 12, 2023 Filed Jul 7, 2023 00:36 UTC Amendment
UECKER DARRINDirector · Chief Technology Officer
OtherWarrant (right to buy) · Derivative 7,365 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019539 · rdgdoc.xml · derivative · entry 2

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 7,365 shares

Expires 2027-06-09

Read SEC document
June 12, 2023 Filed Jul 7, 2023 00:36 UTC Amendment
UECKER DARRINDirector · Chief Technology Officer
OtherCommon Stock 7,365 $2.05 $15,098.25
Disclosure

SEC source: 0001437749-23-019539 · rdgdoc.xml · nonDerivative · entry 1

UECKER DARRIN · CIK 0001276311 · Director · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 148,941

F1 · balance_after: The number of shares beneficially owned, as reported on the Form 4 filed on June 13, 2023, erroneously included options held by the Reporting Person.

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June 09, 2023 Filed Jun 13, 2023 21:26 UTC OtherWarrant (right to buy) · Derivative 86,668 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017297 · rdgdoc.xml · derivative · entry 5

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,668 shares

Expires 2027-06-09

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June 09, 2023 Filed Jun 13, 2023 21:26 UTC OtherCommon Stock 86,668 $2.05 $177,669.40
Disclosure

SEC source: 0001437749-23-017297 · rdgdoc.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 791,915

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June 09, 2023 Filed Jul 7, 2023 00:30 UTC Amendment OtherWarrant (right to buy) · Derivative 86,668 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019535 · rdgdoc.xml · derivative · entry 5

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 86,668 shares

Expires 2027-06-09

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June 09, 2023 Filed Jul 7, 2023 00:30 UTC Amendment OtherCommon Stock 86,668 $2.05 $177,669.40
Disclosure

SEC source: 0001437749-23-019535 · rdgdoc.xml · nonDerivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 528,836

F1 · balance_after: The number of shares beneficially owned, as reported on the Form 4 filed on June 13, 2023, erroneously included options held by the Reporting Person.

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May 25, 2023 Filed Jun 7, 2023 00:47 UTC
DUGGAN ROBERT WDirector · 10% owner
GrantStock Option (right to buy) · Derivative 39,731 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016820 · rdgdoc.xml · derivative · entry 2

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 39,731

Underlying: Common Stock · 39,731 shares

Expires 2033-05-25

F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on September 5, 2023.

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May 25, 2023 Filed Jun 7, 2023 00:47 UTC
DUGGAN ROBERT WDirector · 10% owner
GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016820 · rdgdoc.xml · derivative · entry 1

DUGGAN ROBERT W · CIK 0001055919 · Director · 10% owner

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on June 25, 2023.

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May 25, 2023 Filed Jun 6, 2023 19:30 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016805 · rdgdoc.xml · derivative · entry 1

Spray Shelley D · CIK 0001895909 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on June 25, 2023.

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May 25, 2023 Filed Jun 6, 2023 23:25 UTC GrantStock Option (right to buy) · Derivative 28,487 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016801 · rdgdoc.xml · derivative · entry 2

van den Broek Richard · CIK 0001431872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 28,487

Underlying: Common Stock · 28,487 shares

Expires 2033-05-25

F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on September 5, 2023.

Read SEC document
May 25, 2023 Filed Jun 6, 2023 23:25 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016801 · rdgdoc.xml · derivative · entry 1

van den Broek Richard · CIK 0001431872 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,000

Underlying: Common Stock · 20,000 shares

Expires 2033-05-25

F1 · derivative.exercise_date: The shares subject to the option will vest in equal monthly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on June 25, 2023.

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May 25, 2023 Filed Jun 6, 2023 23:28 UTC GrantStock Option (right to buy) · Derivative 20,168 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016803 · rdgdoc.xml · derivative · entry 2

Zanganeh Mahkam · CIK 0001507650 · Director

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 20,168

Underlying: Common Stock · 20,168 shares

Expires 2033-05-25

F2 · derivative.exercise_date: The shares subject to the option will vest in equal quarterly installments over a one-year period, subject to the Reporting Person's continued service through each vesting date, with the first such installment occurring on September 5, 2023.

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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.