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Sanara MedTech Inc.

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5880
SEC CIK
0000714256
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188

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Jan 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
February 07, 2020 Filed Feb 11, 2020 00:16 UTC
Nixon Ronald TDirector · 10% owner
ConversionCommon Stock 179,101 $9.00 $1,611,909.00
Disclosure

SEC source: 0000897423-20-000029 · edgar.xml · nonDerivative · entry 2

Nixon Ronald T · CIK 0001322573 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,452,731

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 · price: The 5% Convertible Promissory Note in the principal amount of $1,500,000 was convertible into Common Stock at any time prior to maturity at an initial conversion price of $0.09 per share. As a result a 1-for-100 reverse stock split of the Common Stock on May 10, 2019, the conversion price was automatically adjusted to $9.00 per share in accordance with the terms of the Promissory Note. The terms of the Promissory Note also provided for the right of conversion of any accrued and unpaid interest. The amount of $111,911 in accrued interest was also converted into 12,434 shares of Common Stock at $9.00 per share.

F2 · ownership.nature: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Nixon is a manager of Catalyst Rochal, LLC. By virtue of these relationships, Mr. Nixon, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Nixon and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

F3 · ownership.nature: The 5% Convertible Promissory Note in the principal amount of $1,500,000 was convertible into Common Stock at any time prior to maturity at an initial conversion price of $0.09 per share. As a result a 1-for-100 reverse stock split of the Common Stock on May 10, 2019, the conversion price was automatically adjusted to $9.00 per share in accordance with the terms of the Promissory Note. The terms of the Promissory Note also provided for the right of conversion of any accrued and unpaid interest. The amount of $111,911 in accrued interest was also converted into 12,434 shares of Common Stock at $9.00 per share.

Read SEC document
February 07, 2020 Filed Feb 11, 2020 00:16 UTC
Nixon Ronald TDirector · 10% owner
ConversionCommon Stock 2,273,630 Not disclosed Not disclosed
Disclosure

SEC source: 0000897423-20-000029 · edgar.xml · nonDerivative · entry 1

Nixon Ronald T · CIK 0001322573 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 2,273,630

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 · price: The Series F Convertible Preferred Stock was convertible into Common Stock at any time on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for-1 in accordance with the terms of the Series F Convertible Preferred Stock.

F1 · ownership.nature: The Series F Convertible Preferred Stock was convertible into Common Stock at any time on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for-1 in accordance with the terms of the Series F Convertible Preferred Stock.

F2 · ownership.nature: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Nixon is a manager of Catalyst Rochal, LLC. By virtue of these relationships, Mr. Nixon, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Nixon and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

Read SEC document
February 07, 2020 Filed Feb 11, 2020 21:02 UTC Conversion5% Convertible Promissory Note · Derivative Not disclosed Not disclosed Strike: $9.00 $1,611,911.00
Disclosure

SEC source: 0000908662-20-000031 · edgar.xml · derivative · entry 4

CGI Cellerate RX, LLC · CIK 0001766396 · 10% owner

Catalyst Rochal, LLC · CIK 0001766398 · 10% owner

Gurasich Bradley J. · CIK 0001766399 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 179,101 shares

Expires 2021-03-01

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_price: The 5% Convertible Promissory Note in the principal amount of $1,500,000 was convertible into Common Stock at any time prior to maturity at an initial conversion price of $0.09 per share. As a result a 1-for-100 reverse stock split of the Common Stock on May 10, 2019, the conversion price was automatically adjusted to $9.00 per share in accordance with the terms of the Promissory Note. The terms of the Promissory Note also provided for the right of conversion of any accrued and unpaid interest. The amount of $111,911 in accrued interest was also converted into 12,434 shares of Common Stock at $9.00 per share.

F3 · price: The 5% Convertible Promissory Note in the principal amount of $1,500,000 was convertible into Common Stock at any time prior to maturity at an initial conversion price of $0.09 per share. As a result a 1-for-100 reverse stock split of the Common Stock on May 10, 2019, the conversion price was automatically adjusted to $9.00 per share in accordance with the terms of the Promissory Note. The terms of the Promissory Note also provided for the right of conversion of any accrued and unpaid interest. The amount of $111,911 in accrued interest was also converted into 12,434 shares of Common Stock at $9.00 per share.

F2 · ownership.direct: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Gurasich is a manager of Catalyst Rochal, LLC. By virture of these relationships, Mr. Gurasich, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Gurasich and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

Read SEC document
February 07, 2020 Filed Feb 11, 2020 21:02 UTC ConversionSeries F Convertible Preferred Stock · Derivative 1,136,815 Not disclosed Not disclosed
Disclosure

SEC source: 0000908662-20-000031 · edgar.xml · derivative · entry 3

CGI Cellerate RX, LLC · CIK 0001766396 · 10% owner

Catalyst Rochal, LLC · CIK 0001766398 · 10% owner

Gurasich Bradley J. · CIK 0001766399 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 2,273,630 shares

Expires not disclosed

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_price: The Series F Convertible Preferred Stock was convertible into Common Stock at any tme on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for1 in accordance with the terms of the Series F Convertible Preferred Stock.

F1 · price: The Series F Convertible Preferred Stock was convertible into Common Stock at any tme on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for1 in accordance with the terms of the Series F Convertible Preferred Stock.

F1 · derivative.exercise_date: The Series F Convertible Preferred Stock was convertible into Common Stock at any tme on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for1 in accordance with the terms of the Series F Convertible Preferred Stock.

F1 · derivative.expiration_date: The Series F Convertible Preferred Stock was convertible into Common Stock at any tme on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for1 in accordance with the terms of the Series F Convertible Preferred Stock.

F2 · ownership.direct: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Gurasich is a manager of Catalyst Rochal, LLC. By virture of these relationships, Mr. Gurasich, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Gurasich and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

Read SEC document
February 07, 2020 Filed Feb 11, 2020 21:02 UTC ConversionCommon Stock 179,101 $9.00 $1,611,909.00
Disclosure

SEC source: 0000908662-20-000031 · edgar.xml · nonDerivative · entry 2

CGI Cellerate RX, LLC · CIK 0001766396 · 10% owner

Catalyst Rochal, LLC · CIK 0001766398 · 10% owner

Gurasich Bradley J. · CIK 0001766399 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,452,731

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 · price: The 5% Convertible Promissory Note in the principal amount of $1,500,000 was convertible into Common Stock at any time prior to maturity at an initial conversion price of $0.09 per share. As a result a 1-for-100 reverse stock split of the Common Stock on May 10, 2019, the conversion price was automatically adjusted to $9.00 per share in accordance with the terms of the Promissory Note. The terms of the Promissory Note also provided for the right of conversion of any accrued and unpaid interest. The amount of $111,911 in accrued interest was also converted into 12,434 shares of Common Stock at $9.00 per share.

F2 · ownership.direct: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Gurasich is a manager of Catalyst Rochal, LLC. By virture of these relationships, Mr. Gurasich, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Gurasich and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

Read SEC document
February 07, 2020 Filed Feb 11, 2020 21:02 UTC ConversionCommon Stock 2,273,630 Not disclosed Not disclosed
Disclosure

SEC source: 0000908662-20-000031 · edgar.xml · nonDerivative · entry 1

CGI Cellerate RX, LLC · CIK 0001766396 · 10% owner

Catalyst Rochal, LLC · CIK 0001766398 · 10% owner

Gurasich Bradley J. · CIK 0001766399 · 10% owner

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

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,273,630

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 · price: The Series F Convertible Preferred Stock was convertible into Common Stock at any tme on a 2-for-1 basis and had no expiration date. When originally issued the conversion rate was 200-for-1, but on May 10, 2019, as a result of a 1-for-100 reverse stock split of the Common Stock, the conversion rate was automatically adjusted to a conversion rate of 2-for1 in accordance with the terms of the Series F Convertible Preferred Stock.

F2 · ownership.direct: Reflects shares of Common Stock owned of record by CGI Cellerate RX, LLC, which is a wholly owned subsidiary of Catalyst Rochal, LLC. Mr. Gurasich is a manager of Catalyst Rochal, LLC. By virture of these relationships, Mr. Gurasich, Catalyst Rochal, LLC and CGI Cellerate RX, LLC may be deemed to share voting and dispositive control over the Common Stock. Mr. Gurasich and Catalyst Rochal, LLC disclaim beneficial ownership of any Common Stock held or beneficially owned by CGI Cellerate RX, LLC, except to the extent of each of their pecuniary interests therein.

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:05 UTC
Nixon Ronald TDirector · 10% owner
GrantCommon Stock 7,229 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000013 · edgar.xml · nonDerivative · entry 1

Nixon Ronald T · CIK 0001322573 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,229

Read SEC document
January 21, 2020 Filed Jan 23, 2020 22:12 UTC GrantCommon Stock 2,410 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000021 · edgar.xml · nonDerivative · entry 1

Salamone Ann Beal · CIK 0001799659 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,410

Read SEC document
January 21, 2020 Filed Jan 23, 2020 22:04 UTC GrantCommon Stock 2,410 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000020 · edgar.xml · nonDerivative · entry 1

Thorpe Kenneth E · CIK 0001482846 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,410

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:58 UTC
McNeil Michael D.Chief Financial Officer
GrantCommon Stock 8,097 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000019 · edgar.xml · nonDerivative · entry 2

McNeil Michael D. · CIK 0001737969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,637

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:58 UTC
McNeil Michael D.Chief Financial Officer
GrantCommon Stock 2,540 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000019 · edgar.xml · nonDerivative · entry 1

McNeil Michael D. · CIK 0001737969 · Chief Financial Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,540

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:50 UTC
Carmena J MichaelDirector · Principal Executive Officer
GrantCommon Stock 12,049 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000018 · edgar.xml · nonDerivative · entry 2

Carmena J Michael · CIK 0001732645 · Director · Principal Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 17,249

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:50 UTC
Carmena J MichaelDirector · Principal Executive Officer
GrantCommon Stock 5,200 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000018 · edgar.xml · nonDerivative · entry 1

Carmena J Michael · CIK 0001732645 · Director · Principal Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,200

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:42 UTC
Bowman Shawn M.President - Wound Care Div.
GrantCommon Stock 13,555 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000017 · edgar.xml · nonDerivative · entry 3

Bowman Shawn M. · CIK 0001799604 · President - Wound Care Div.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,065

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:42 UTC
Bowman Shawn M.President - Wound Care Div.
GrantCommon Stock 1,000 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000017 · edgar.xml · nonDerivative · entry 2

Bowman Shawn M. · CIK 0001799604 · President - Wound Care Div.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,510

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:42 UTC
Bowman Shawn M.President - Wound Care Div.
GrantCommon Stock 1,510 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000017 · edgar.xml · nonDerivative · entry 1

Bowman Shawn M. · CIK 0001799604 · President - Wound Care Div.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,510

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:26 UTC
STUCKERT JAMES WDirector · 10% owner
GrantCommon Stock 7,229 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000015 · edgar.xml · nonDerivative · entry 1

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 822,059

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:33 UTC
Fleming Zachary B.President - Surgical Div.
GrantCommon Stock 13,555 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000016 · edgar.xml · nonDerivative · entry 2

Fleming Zachary B. · CIK 0001799602 · President - Surgical Div.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,105

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:33 UTC
Fleming Zachary B.President - Surgical Div.
GrantCommon Stock 4,550 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000016 · edgar.xml · nonDerivative · entry 1

Fleming Zachary B. · CIK 0001799602 · President - Surgical Div.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,550

Read SEC document
January 21, 2020 Filed Jan 23, 2020 21:16 UTC
HOWELL S ODEN JRDirector · 10% owner
GrantCommon Stock 7,229 $0.00 $0.00
Disclosure

SEC source: 0000897423-20-000014 · edgar.xml · nonDerivative · entry 1

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 488,394

Read SEC document
October 15, 2019 Filed Oct 17, 2019 22:57 UTC
Nixon Ronald TDirector · 10% owner
PurchaseCommon Stock 963,856 $8.30 $8,000,004.80
Disclosure

SEC source: 0000897423-19-000065 · edgar.xml · nonDerivative · entry 1

Nixon Ronald T · CIK 0001322573 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · See Footnote

Disclosed balance after: 963,856

F1 · ownership.nature: Reflects shares of Common Stock owned of record by FA Sanara, LLC ("FA Sanara"). FA Sanara is managed by Family Alignment, LLC ("Family"), which is managed by Catalyst Group, Inc.("Catalyst"). Mr. Nixon is controlling shareholder and President of Catalyst. Brad Gurasich has an economic interest in FA Sanara and is a manager of FA Sanara and Family. Mr. Nixon, Mr. Gurasich, Catalyst, Family and FA Sanara may be deemed to share voting and dispositive control over the Common Stock. Mr. Nixon, Mr. Gurasich, Catalyst and Family disclaim beneficial ownership of any Common Stock held or beneficially owned by FA Sanara, except to the extent of each of their pecuniary interests therein.

Read SEC document
October 15, 2019 Filed Oct 17, 2019 21:24 UTC
STUCKERT JAMES WDirector · 10% owner
PurchaseCommon Stock 180,723 $8.30 $1,500,000.90
Disclosure

SEC source: 0000897423-19-000064 · edgar.xml · nonDerivative · entry 1

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 814,830

Read SEC document
October 15, 2019 Filed Oct 17, 2019 21:20 UTC
HOWELL S ODEN JRDirector · 10% owner
PurchaseCommon Stock 60,241 $8.30 $500,000.30
Disclosure

SEC source: 0000897423-19-000063 · edgar.xml · nonDerivative · entry 1

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 481,165

Read SEC document
February 27, 2018 Filed May 10, 2018 00:04 UTC
HOWELL S ODEN JRDirector · 10% owner
OtherSeries C Preferred Stock · Derivative 16,535 Not disclosed Not disclosed
Disclosure

SEC source: 0001176488-18-000001 · primary_doc.xml · derivative · entry 5

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 0

Underlying: Common Stock · 19,817,165 shares

Expires not disclosed

F3 · derivative.exercise_price: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F3 · kind: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F3 · price: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F3 · derivative.expiration_date: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the Solomon Oden Howell Revocable Trust.

Read SEC document
February 27, 2018 Filed May 10, 2018 00:04 UTC
HOWELL S ODEN JRDirector · 10% owner
OtherCommon Stock 19,817,165 $0.07 $1,387,201.55
Disclosure

SEC source: 0001176488-18-000001 · primary_doc.xml · nonDerivative · entry 3

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 42,092,429

F3 · kind: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F3 · shares: On February 27, 2018, the Solomon Oden Howell Revocable Trust converted 16,535 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 19,817,165 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the Solomon Oden Howell Revocable Trust.

Read SEC document
February 19, 2018 Filed May 10, 2018 00:04 UTC
HOWELL S ODEN JRDirector · 10% owner
OtherSeries C Preferred Stock · Derivative 9,745 Not disclosed Not disclosed
Disclosure

SEC source: 0001176488-18-000001 · primary_doc.xml · derivative · entry 4

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 16,535

Underlying: Common Stock · 10,799,586 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F2 · kind: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F2 · price: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F2 · derivative.expiration_date: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the Solomon Oden Howell Revocable Trust.

Read SEC document
February 19, 2018 Filed May 10, 2018 00:04 UTC
HOWELL S ODEN JRDirector · 10% owner
OtherCommon Stock 10,799,586 $0.07 $755,971.02
Disclosure

SEC source: 0001176488-18-000001 · primary_doc.xml · nonDerivative · entry 2

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 22,125,264

F2 · kind: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F2 · shares: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted 9,745 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 10,799,586 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the Solomon Oden Howell Revocable Trust.

Read SEC document
February 19, 2018 Filed May 10, 2018 00:04 UTC
HOWELL S ODEN JRDirector · 10% owner
OtherCommon Stock 11,325,678 $0.07 $792,797.46
Disclosure

SEC source: 0001176488-18-000001 · primary_doc.xml · nonDerivative · entry 1

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Trust

Disclosed balance after: 11,475,678

F1 · kind: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted all principal and interest under that certain promissory note, dated as of June 15, 2015, in the principal amount of $600,000, into 11,325,678 shares of the Company's Common Stock.

F1 · shares: On February 19, 2018, the Solomon Oden Howell Revocable Trust converted all principal and interest under that certain promissory note, dated as of June 15, 2015, in the principal amount of $600,000, into 11,325,678 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the Solomon Oden Howell Revocable Trust.

Read SEC document
February 19, 2018 Filed Jun 5, 2018 23:01 UTC
STUCKERT JAMES WDirector · 10% owner
OtherSeries C Preferred Stock · Derivative 3,572 Not disclosed Not disclosed
Disclosure

SEC source: 0001176485-18-000001 · primary_doc.xml · derivative · entry 7

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Diane V. Stuckert Revocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 3,965,400 shares

Expires not disclosed

F3 · derivative.exercise_price: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F3 · kind: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F3 · price: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F3 · derivative.expiration_date: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F5 · ownership.nature: The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

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February 19, 2018 Filed Jun 5, 2018 23:01 UTC
STUCKERT JAMES WDirector · 10% owner
OtherSeries C Preferred Stock · Derivative 36,384 Not disclosed Not disclosed
Disclosure

SEC source: 0001176485-18-000001 · primary_doc.xml · derivative · entry 6

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By James W. Stuckert Revocable Trust

Disclosed balance after: 0

Underlying: Common Stock · 43,037,070 shares

Expires not disclosed

F2 · derivative.exercise_price: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F2 · kind: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F2 · price: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F2 · derivative.expiration_date: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the trust.

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February 19, 2018 Filed Jun 5, 2018 23:01 UTC
STUCKERT JAMES WDirector · 10% owner
OtherCommon Stock 3,965,400 $0.07 $277,578.00
Disclosure

SEC source: 0001176485-18-000001 · primary_doc.xml · nonDerivative · entry 3

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Diane V. Stuckert Revocable Trust

Disclosed balance after: 5,365,400

F3 · kind: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F3 · shares: On February 19, 2018, the Diane V. Stuckert Revocable Trust converted 3,572 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 3,965,400 shares of the Company's Common Stock.

F5 · ownership.nature: The reporting person's spouse is trustee of the trust. The reporting person disclaims beneficial ownership of these securities, and the filing of this report is not an admission that the reporting person is the beneficial owner of these securities for purposes of Section 16 or for any other purpose.

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February 19, 2018 Filed Jun 5, 2018 23:01 UTC
STUCKERT JAMES WDirector · 10% owner
OtherCommon Stock 13,037,070 $0.07 $912,594.90
Disclosure

SEC source: 0001176485-18-000001 · primary_doc.xml · nonDerivative · entry 2

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By James W. Stuckert Revocable Trust

Disclosed balance after: 65,094,503

F2 · kind: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F2 · shares: On February 19, 2018, the James W. Stuckert Revocable Trust converted 36,384 shares of the Company's Series C Convertible Preferred Stock, together with all accrued but unpaid dividends thereon, into a total of 43,037,070 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the trust.

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February 19, 2018 Filed Jun 5, 2018 23:01 UTC
STUCKERT JAMES WDirector · 10% owner
OtherCommon Stock 11,325,678 $0.07 $792,797.46
Disclosure

SEC source: 0001176485-18-000001 · primary_doc.xml · nonDerivative · entry 1

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By James W. Stuckert Revocable Trust

Disclosed balance after: 22,057,433

F1 · kind: On February 19, 2018, the James W. Stuckert Revocable Trust converted all principal and interest under that certain promissory note, dated as of June 15, 2015, in the principal amount of $600,000, into 11,325,678 shares of the Company's Common Stock.

F1 · shares: On February 19, 2018, the James W. Stuckert Revocable Trust converted all principal and interest under that certain promissory note, dated as of June 15, 2015, in the principal amount of $600,000, into 11,325,678 shares of the Company's Common Stock.

F4 · ownership.nature: The reporting person is the trustee of the trust.

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February 27, 2017 Filed Apr 4, 2017 00:34 UTC GrantCommon Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001574181-17-000001 · primary_doc.xml · nonDerivative · entry 1

Rubinfeld Philip J · CIK 0001574181 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 500,000

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February 27, 2017 Filed Apr 4, 2017 00:30 UTC
HOWELL S ODEN JRDirector · 10% owner
GrantCommon Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001176488-17-000003 · primary_doc.xml · nonDerivative · entry 1

HOWELL S ODEN JR · CIK 0001176488 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By Solomon Oden Howell Revocable Trust

Disclosed balance after: 150,000

F1 · ownership.nature: The reporting person is the trustee of the trust.

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February 27, 2017 Filed Apr 6, 2017 00:14 UTC GrantCommon Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001385213-17-000004 · primary_doc.xml · nonDerivative · entry 2

Siedhoff John Christopher · CIK 0001385213 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,150,000

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February 27, 2017 Filed Apr 6, 2017 00:22 UTC
STUCKERT JAMES WDirector · 10% owner
GrantCommon Stock 150,000 $0.00 $0.00
Disclosure

SEC source: 0001176485-17-000002 · primary_doc.xml · nonDerivative · entry 1

STUCKERT JAMES W · CIK 0001176485 · Director · 10% owner

10b5-1 filing: Not disclosed

Ownership: Indirect · By James W. Stuckert Revocable Trust

Disclosed balance after: 10,731,755

F1 · ownership.nature: The reporting person is the trustee of the trust.

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October 24, 2016 Filed Mar 31, 2017 18:52 UTC GrantCommon Stock 500,000 $0.00 $0.00
Disclosure

SEC source: 0001492839-17-000001 · primary_doc.xml · nonDerivative · entry 1

HUTCHINSON DEBORAH JENKINS · CIK 0001492839 · President

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 2,750,000

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February 20, 2015 Filed Apr 6, 2017 00:14 UTC ConversionSeries D Preferred Stock · Derivative 750 $0.00 $0.00
Disclosure

SEC source: 0001385213-17-000004 · primary_doc.xml · derivative · entry 3

Siedhoff John Christopher · CIK 0001385213 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 0

Underlying: Common Stock · 750,000 shares

Expires not disclosed

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_price: The Series D Preferred Stock was convertible on a 1,000-for-1 basis, into shares of the issuer's common stock, upon the issuer's charter being amended to increase the number of authorized shares of common stock from 100,000,000 to 250,000,000. The issuer's charter was amended to reflect such increase in the number of authorized shares of common stock effective February 20, 2015.

F1 · derivative.exercise_date: The Series D Preferred Stock was convertible on a 1,000-for-1 basis, into shares of the issuer's common stock, upon the issuer's charter being amended to increase the number of authorized shares of common stock from 100,000,000 to 250,000,000. The issuer's charter was amended to reflect such increase in the number of authorized shares of common stock effective February 20, 2015.

F1 · derivative.expiration_date: The Series D Preferred Stock was convertible on a 1,000-for-1 basis, into shares of the issuer's common stock, upon the issuer's charter being amended to increase the number of authorized shares of common stock from 100,000,000 to 250,000,000. The issuer's charter was amended to reflect such increase in the number of authorized shares of common stock effective February 20, 2015.

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February 20, 2015 Filed Apr 6, 2017 00:14 UTC ConversionCommon Stock 750,000 Not disclosed Not disclosed
Disclosure

SEC source: 0001385213-17-000004 · primary_doc.xml · nonDerivative · entry 1

Siedhoff John Christopher · CIK 0001385213 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 7,000,000

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 · price: The Series D Preferred Stock was convertible on a 1,000-for-1 basis, into shares of the issuer's common stock, upon the issuer's charter being amended to increase the number of authorized shares of common stock from 100,000,000 to 250,000,000. The issuer's charter was amended to reflect such increase in the number of authorized shares of common stock effective February 20, 2015.

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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.