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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
May 25, 2023 Filed Jun 6, 2023 23:28 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016803 · rdgdoc.xml · derivative · entry 1

Zanganeh Mahkam · CIK 0001507650 · 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.

Read SEC document
May 25, 2023 Filed Jun 6, 2023 23:38 UTC GrantStock Option (right to buy) · Derivative 20,000 $0.00 Strike: $5.95 $0.00
Disclosure

SEC source: 0001437749-23-016810 · rdgdoc.xml · derivative · entry 1

Soni Manmeet Singh · CIK 0001569769 · 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.

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · derivative · entry 10

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · derivative · entry 9

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · derivative · entry 8

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 814 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · derivative · entry 7

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse

Disclosed balance after: 0

Underlying: Common Stock · 814 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 10,935 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · derivative · entry 6

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,935 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · nonDerivative · entry 5

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · nonDerivative · entry 4

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · nonDerivative · entry 3

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 814 $2.05 $1,668.70
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · nonDerivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse

Disclosed balance after: 4,135

Read SEC document
May 25, 2023 Filed Jun 13, 2023 17:26 UTC
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 10,935 $2.05 $22,416.75
Disclosure

SEC source: 0001437749-23-017296 · rdgdoc.xml · nonDerivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 230,843

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · derivative · entry 10

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · derivative · entry 9

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 143 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · derivative · entry 8

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 0

Underlying: Common Stock · 143 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 814 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · derivative · entry 7

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse

Disclosed balance after: 0

Underlying: Common Stock · 814 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherWarrant (right to buy) · Derivative 10,935 $0.00 Strike: $2.05 $0.00
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · derivative · entry 6

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 10,935 shares

Expires 2027-06-09

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · nonDerivative · entry 5

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · nonDerivative · entry 4

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 143 $2.05 $293.15
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · nonDerivative · entry 3

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 814 $2.05 $1,668.70
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · nonDerivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Indirect · Spouse

Disclosed balance after: 4,135

Read SEC document
May 25, 2023 Filed Jul 6, 2023 20:32 UTC Amendment
Levinson Mitchell E.Chief Strategy Officer
OtherCommon Stock 10,935 $2.05 $22,416.75
Disclosure

SEC source: 0001437749-23-019537 · rdgdoc.xml · nonDerivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 68,766

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.

Read SEC document
May 09, 2023 Filed May 10, 2023 21:41 UTC
DUGGAN ROBERT WDirector · 10% owner
PurchaseCommon Stock 10,022,937 $6.51 $65,249,319.87
Disclosure

SEC source: 0001839882-23-012510 · duggan-form4_050923.xml · nonDerivative · entry 1

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

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 30,414,661

F1 · kind: Shares were acquired pursuant to the terms of that certain purchase agreement by and between the Reporting Person and the Issuer, of which consideration included the satisfaction of a loan from the Reporting Person to the Issuer.

Read SEC document
May 08, 2023 Filed May 9, 2023 21:46 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
GrantStock Option (right to buy) · Derivative 17,700 Not disclosed Strike: $8.02 Not disclosed
Disclosure

SEC source: 0001437749-23-013390 · rdgdoc.xml · derivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 17,700

Underlying: Common Stock · 17,700 shares

Expires 2033-05-08

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on May 8, 2023 under the Issuer's 2017 Equity Incentive Plan. The shares subject to the option are subject to performance-based vesting criteria. 4,425 shares will vest in equal annual installments over the following four years, subject to achievement of the vesting criteria and the reporting person's continued service through each vesting date.

Read SEC document
April 29, 2023 Filed May 3, 2023 01:45 UTC
UECKER DARRINChief Technology Officer
GrantStock Option (right to buy) · Derivative 500,000 Not disclosed Strike: $6.44 Not disclosed
Disclosure

SEC source: 0001437749-23-012179 · rdgdoc.xml · derivative · entry 1

UECKER DARRIN · CIK 0001276311 · Chief Technology Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2033-04-29

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on April 29, 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
April 29, 2023 Filed May 3, 2023 01:45 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 500,000 Not disclosed Strike: $6.44 Not disclosed
Disclosure

SEC source: 0001437749-23-012180 · rdgdoc.xml · derivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 500,000

Underlying: Common Stock · 500,000 shares

Expires 2033-04-29

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on April 29, 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
April 17, 2023 Filed May 9, 2023 21:46 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
GrantStock Option (right to buy) · Derivative 2,000 Not disclosed Strike: $5.81 Not disclosed
Disclosure

SEC source: 0001437749-23-013390 · rdgdoc.xml · derivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 2,000

Underlying: Common Stock · 2,000 shares

Expires 2033-04-17

F2 · price: Not applicable.

Read SEC document
March 22, 2023 Filed Mar 24, 2023 16:30 UTC
Levinson Mitchell E.Chief Strategy Officer
GrantStock Option (right to buy) · Derivative 35,000 Not disclosed Strike: $2.92 Not disclosed
Disclosure

SEC source: 0001437749-23-007821 · rdgdoc.xml · derivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Chief Strategy Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 35,000

Underlying: Common Stock · 35,000 shares

Expires 2033-03-22

F2 · price: Not Applicable

F1 · derivative.exercise_date: The option was granted on March 22, 2023 under the Issuer's 2017 Equity Incentive Plan. The shares subject to the option are subject to performance-based vesting criteria. 8,750 shares will vest in equal annual installments over the following four years on or about December 31, starting in 2023, subject to achievement of the vesting criteria and the reporting person's continued service through each vesting date.

Read SEC document
March 17, 2023 Filed Mar 24, 2023 20:31 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 25,000 $0.00 Strike: $6.41 $0.00
Disclosure

SEC source: 0001437749-23-007824 · rdgdoc.xml · derivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: No plan indicated

Ownership: Direct

Disclosed balance after: 25,000

Underlying: Common Stock · 25,000 shares

Expires 2032-02-14

F1 · derivative.underlying_shares: On February 14, 2022, the reporting person was granted an option to purchase 150,000 shares of the Issuer's common stock. The option vests upon the achievement of performance objectives, with vesting targets of 25% vesting per year upon achievement of said objectives established by the Issuer's Compensation Committee, subject to the reporting person's continued service through each vesting date. The performance objectives for 2022 were met, resulting in the vesting of the option as to 25,000 shares.

Read SEC document
October 07, 2022 Filed Oct 11, 2022 19:11 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseCommon Stock 4,300 $2.29 $9,847.00
Disclosure

SEC source: 0001387131-22-010379 · levinson-form4_100722.xml · nonDerivative · entry 5

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 5,034

Read SEC document
October 07, 2022 Filed Oct 11, 2022 19:11 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseCommon Stock 4,500 $2.23 $10,035.00
Disclosure

SEC source: 0001387131-22-010379 · levinson-form4_100722.xml · nonDerivative · entry 4

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 5,234

Read SEC document
October 07, 2022 Filed Oct 11, 2022 19:11 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseCommon Stock 4,400 $2.26 $9,944.00
Disclosure

SEC source: 0001387131-22-010379 · levinson-form4_100722.xml · nonDerivative · entry 3

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 5,134

Read SEC document
October 07, 2022 Filed Oct 11, 2022 19:11 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseCommon Stock 8,810 $2.27 $19,998.70
Disclosure

SEC source: 0001387131-22-010379 · levinson-form4_100722.xml · nonDerivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 12,945

Read SEC document
October 07, 2022 Filed Oct 11, 2022 19:11 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseCommon Stock 8,770 $2.29 $20,083.30
Disclosure

SEC source: 0001387131-22-010379 · levinson-form4_100722.xml · nonDerivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,274

Read SEC document
September 30, 2022 Filed Oct 3, 2022 20:35 UTC
Danahy Kevin PatrickChief Executive Officer
PurchaseCommon Stock 6,500 $2.30 $14,950.00
Disclosure

SEC source: 0001839882-22-022698 · danahy-form4_093022.xml · nonDerivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,500

F1 · price: This purchase price represents the weighted average purchase price of the shares purchased on September 30, 2022, ranging from $2.28 to $2.31 per share. Upon request by the Commission staff, the Issuer, or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price within the range set forth in this Form 4.

Read SEC document
September 23, 2022 Filed Sep 27, 2022 21:46 UTC
Danahy Kevin PatrickChief Executive Officer
GrantStock Option (right to buy) · Derivative 450,000 Not disclosed Strike: $1.53 Not disclosed
Disclosure

SEC source: 0001387131-22-010043 · danahy-form4_092722.xml · derivative · entry 1

Danahy Kevin Patrick · CIK 0001913245 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 450,000

Underlying: Common Stock · 450,000 shares

Expires 2032-09-23

F2 · price: Not applicable.

F1 · derivative.exercise_date: The option was granted on September 23, 2022 under the Issuer's 2017 Equity Incentive Plan and pursuant to an amendment to the Reporting Person's employment agreement. 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
June 09, 2022 Filed Jun 10, 2022 23:00 UTC
DUGGAN ROBERT WDirector · 10% owner
PurchaseWarrant (right to buy) · Derivative 81,025 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006924 · duggan-form4_061022.xml · derivative · entry 4

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

10b5-1 filing: Not disclosed

Ownership: Indirect · footnote

Disclosed balance after: 81,025

Underlying: Common Stock · 81,025 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F3 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 23:00 UTC
DUGGAN ROBERT WDirector · 10% owner
PurchaseWarrant (right to buy) · Derivative 5,683,163 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006924 · duggan-form4_061022.xml · derivative · entry 3

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,683,163

Underlying: Common Stock · 5,683,163 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 23:00 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherCommon Stock 81,025 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006924 · duggan-form4_061022.xml · nonDerivative · entry 2

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

10b5-1 filing: Not disclosed

Ownership: Indirect · footnote

Disclosed balance after: 411,044

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F3 · ownership.nature: Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 23:00 UTC
DUGGAN ROBERT WDirector · 10% owner
OtherCommon Stock 5,683,163 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006924 · duggan-form4_061022.xml · nonDerivative · entry 1

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,391,724

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseWarrant (right to buy) · Derivative 143 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · derivative · entry 10

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 143

Underlying: Common Stock · 143 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

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June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseWarrant (right to buy) · Derivative 143 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · derivative · entry 9

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 143

Underlying: Common Stock · 143 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseWarrant (right to buy) · Derivative 143 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · derivative · entry 8

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 143

Underlying: Common Stock · 143 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseWarrant (right to buy) · Derivative 814 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · derivative · entry 7

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 814

Underlying: Common Stock · 814 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
PurchaseWarrant (right to buy) · Derivative 10,935 Not disclosed Strike: $2.05 Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · derivative · entry 6

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,935

Underlying: Common Stock · 10,935 shares

Expires 2027-06-09

F2 · derivative.exercise_price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F1 · price: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
OtherCommon Stock 143 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · nonDerivative · entry 5

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
OtherCommon Stock 143 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · nonDerivative · entry 4

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
OtherCommon Stock 143 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · nonDerivative · entry 3

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Immediate family member

Disclosed balance after: 734

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
OtherCommon Stock 814 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · nonDerivative · entry 2

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Indirect · Spouse

Disclosed balance after: 4,135

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

Read SEC document
June 09, 2022 Filed Jun 10, 2022 18:58 UTC
Levinson Mitchell E.Director · Chief Strategy Officer
OtherCommon Stock 10,935 Not disclosed Not disclosed
Disclosure

SEC source: 0001387131-22-006922 · levinson-form4_060922.xml · nonDerivative · entry 1

Levinson Mitchell E. · CIK 0001674465 · Director · Chief Strategy Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 37,504

F1 · kind: The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.

F2 · price: Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.

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.