Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Charlie's Holdings, Inc.CHUC · Entity 7095 | Director | September 03, 2026 | September 04, 2026 |
| Petro River Oil Corp.PTRC · Entity 160478 | Director · EXECUTIVE CHAIRMAN | October 02, 2018 | February 08, 2019 |
| WRAP TECHNOLOGIES, INC.WRAP · Entity 6770 | Director · Executive Chairman and CEO · 10% owner | October 01, 2026 | October 10, 2026 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Charlie's Holdings, Inc.
Report date September 03, 2026 · Filed September 04, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,438,000 |
Reported balance
After 2026-09-03 transaction · row 1
1 source rowRow 1 · 2026-09-03 · Grant · Acquired 200,000 · Balance 1,438,000 F1: The shares will vest on the one year anniversary of the grant, subject to continued service. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares will vest on the one year anniversary of the grant, subject to continued service.
Petro River Oil Corp.
Report date October 02, 2018 · Filed February 08, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy ICO Liquidating Trust | 605,431 |
Reported balance
After 2018-10-02 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2018-10-02 · Grant · Acquired 300,000 · Balance 605,431 F1: The reported shares were issued to ICO Liquidating Trust, LLC ("ICO") by the Issuer as consideration for the sale by ICO to the Issuer of a 66.67% membership interest in LBE Partners, LLC. The Reporting Person is the managing member of ICO. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | Direct | 51,881 |
Reported balance
After 2019-01-31 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2019-01-31 · Grant · Acquired 51,881 · Balance 51,881 F4: On January 31 2019, the Reporting Person and the Issuer entered into a Debt Conversion Agreement, pursuant to which the Reporting Person agreed to convert all outstanding debt owed to the Reporting Person, amounting to $300,000, into units ("Units") issued in connection with a private placement transaction consummated by the Issuer on January 31, 2019 (the "Cohen Debt Conversion"), which Units consisted of shares of Series A Convertible Preferred Stock ("Series A Preferred) and warrants to purchase shares of the Issuer's common stock ("Warrants"). In connection with the Cohen Debt Conversion, the Reporting Person received 51,881 shares of Series A Preferred and Warrants to purchase 2,594,00 shares of common stock. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3. F2: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3: Each share of Series A Preferred has a stated value of $20.00 per share ("Stated Value"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Stated Value, divided by $0.40. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2024-01-31 | Direct | 2,594,040 |
Reported balance
After 2019-01-31 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2019-01-31 · Grant · Acquired 2,594,040 · Balance 2,594,040 F4: On January 31 2019, the Reporting Person and the Issuer entered into a Debt Conversion Agreement, pursuant to which the Reporting Person agreed to convert all outstanding debt owed to the Reporting Person, amounting to $300,000, into units ("Units") issued in connection with a private placement transaction consummated by the Issuer on January 31, 2019 (the "Cohen Debt Conversion"), which Units consisted of shares of Series A Convertible Preferred Stock ("Series A Preferred) and warrants to purchase shares of the Issuer's common stock ("Warrants"). In connection with the Cohen Debt Conversion, the Reporting Person received 51,881 shares of Series A Preferred and Warrants to purchase 2,594,00 shares of common stock. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectBy Petro Exploration Funding, LLC | 36,406 |
Reported balance
After 2019-01-31 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2019-01-31 · Grant · Acquired 36,406 · Balance 36,406 F5: On January 31 2019, the Issuer entered into a Debt Conversion Agreement with Petro Exploration Funding, LLC ("Funding Corp."), pursuant to which the parties agreed to convert all outstanding debt owed to Funding Corp. pursuant to a Senior Secured Promissory Note, dated June 13, 2017, in the aggregate amount of $2,327,473, into 116,374 shares of Series A Preferred (the "Funding Corp. Debt Conversion"). The Reporting Person owns or controls 31.25% of Fund Corp., and therefore claims beneficial ownership over 36,406 shares of Series A Preferred; the Reporting Person disclaims beneficial ownership with respect to the remaining 79,968 shares of Series A Preferred issued to Funding Corp. in connection with the Funding Corp. Debt Conversion. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3. F2: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3: Each share of Series A Preferred has a stated value of $20.00 per share ("Stated Value"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Stated Value, divided by $0.40. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $0.40 | IndirectBy Petro Exploration Funding II, LLC | 58,009 |
Reported balance
After 2019-01-31 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2019-01-31 · Grant · Acquired 58,009 · Balance 58,009 F6: On January 31 2019, the Issuer entered into a Debt Conversion Agreement with Petro Exploration Funding II, LLC ("Funding Corp. II"), pursuant to which the parties agreed to convert all outstanding debt owed to Funding Corp. II pursuant to a Senior Secured Promissory Note, dated November 6, 2017, in the aggregate amount of $2,802,603, into 140,130 shares of Series A Preferred (the "Funding Corp. II Debt Conversion"). The Reporting Person owns or controls 41.2% of Fund Corp., II and therefore claims beneficial ownership over 58,009 shares of Series A Preferred; the Reporting Person disclaims beneficial ownership with respect to the remaining 82,121 shares of Series A Preferred issued to Funding Corp. II in connection with the Funding Corp. II Debt Conversion. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3. F2: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3: Each share of Series A Preferred has a stated value of $20.00 per share ("Stated Value"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Stated Value, divided by $0.40. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $2.38 · Expires 2020-06-13 | IndirectBy Petro Exploration Funding, LLC | 0 |
Reported balance
After 2019-01-31 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2019-01-31 · Disposition to issuer · Disposed 840,336 · Balance 0 F7: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2024-01-31 | IndirectBy Petro Exploration Funding, LLC | 840,336 |
Reported balance
After 2019-01-31 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2019-01-31 · Grant · Acquired 840,336 · Balance 840,336 F7: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $2.00 · Expires 2020-02-06 | IndirectBy Petro Exploration Funding II, LLC | 0 |
Reported balance
After 2019-01-31 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2019-01-31 · Disposition to issuer · Disposed 1,250,000 · Balance 0 F8: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. II Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. |
| WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2024-01-31 | IndirectBy Petro Exploration Funding II, LLC | 1,250,000 |
Reported balance
After 2019-01-31 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2019-01-31 · Grant · Acquired 1,250,000 · Balance 1,250,000 F8: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. II Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. |
| Common StockSEC Table I · non-derivative | IndirectBy Pearsonia West Investments, LLC | 725,000 |
Reported balance
Holding disclosure · report date 2018-10-02 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 725,000 |
| Common StockSEC Table I · non-derivative | IndirectBy Structure Oil Corp. | 36,813 |
Reported balance
Holding disclosure · report date 2018-10-02 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 36,813 |
| Common StockSEC Table I · non-derivative | IndirectBy the Scot Jason Cohen Foundation | 34,702 |
Reported balance
Holding disclosure · report date 2018-10-02 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 34,702 |
Filing footnotes · ownership attribution and instrument terms
F1: The reported shares were issued to ICO Liquidating Trust, LLC ("ICO") by the Issuer as consideration for the sale by ICO to the Issuer of a 66.67% membership interest in LBE Partners, LLC. The Reporting Person is the managing member of ICO. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3.
F2: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding.
F3: Each share of Series A Preferred has a stated value of $20.00 per share ("Stated Value"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Stated Value, divided by $0.40.
F4: On January 31 2019, the Reporting Person and the Issuer entered into a Debt Conversion Agreement, pursuant to which the Reporting Person agreed to convert all outstanding debt owed to the Reporting Person, amounting to $300,000, into units ("Units") issued in connection with a private placement transaction consummated by the Issuer on January 31, 2019 (the "Cohen Debt Conversion"), which Units consisted of shares of Series A Convertible Preferred Stock ("Series A Preferred) and warrants to purchase shares of the Issuer's common stock ("Warrants"). In connection with the Cohen Debt Conversion, the Reporting Person received 51,881 shares of Series A Preferred and Warrants to purchase 2,594,00 shares of common stock. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3.
F5: On January 31 2019, the Issuer entered into a Debt Conversion Agreement with Petro Exploration Funding, LLC ("Funding Corp."), pursuant to which the parties agreed to convert all outstanding debt owed to Funding Corp. pursuant to a Senior Secured Promissory Note, dated June 13, 2017, in the aggregate amount of $2,327,473, into 116,374 shares of Series A Preferred (the "Funding Corp. Debt Conversion"). The Reporting Person owns or controls 31.25% of Fund Corp., and therefore claims beneficial ownership over 36,406 shares of Series A Preferred; the Reporting Person disclaims beneficial ownership with respect to the remaining 79,968 shares of Series A Preferred issued to Funding Corp. in connection with the Funding Corp. Debt Conversion. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3.
F6: On January 31 2019, the Issuer entered into a Debt Conversion Agreement with Petro Exploration Funding II, LLC ("Funding Corp. II"), pursuant to which the parties agreed to convert all outstanding debt owed to Funding Corp. II pursuant to a Senior Secured Promissory Note, dated November 6, 2017, in the aggregate amount of $2,802,603, into 140,130 shares of Series A Preferred (the "Funding Corp. II Debt Conversion"). The Reporting Person owns or controls 41.2% of Fund Corp., II and therefore claims beneficial ownership over 58,009 shares of Series A Preferred; the Reporting Person disclaims beneficial ownership with respect to the remaining 82,121 shares of Series A Preferred issued to Funding Corp. II in connection with the Funding Corp. II Debt Conversion. The issuance of the shares was exempt from Section 16(b) pursuant to Rule 16b-3.
F7: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.
F8: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. II Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively.
WRAP TECHNOLOGIES, INC.
Report date October 01, 2026 · Filed October 10, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 10,610,742 |
Reported balance
After 2026-10-01 transaction · row 1
1 source rowRow 1 · 2026-10-01 · Grant · Acquired 1,655 · Balance 10,610,742 F1: Represents shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), issued as a payment of dividends on the Issuer's Series A Convertible Preferred Stock, par value $0.0001 per share. |
| Common StockSEC Table I · non-derivative | IndirectBy V4 Global LLC | 2,044,539 |
Reported balance
After 2026-10-01 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2026-10-01 · Grant · Acquired 2,318 · Balance 2,044,539 F1: Represents shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), issued as a payment of dividends on the Issuer's Series A Convertible Preferred Stock, par value $0.0001 per share. F2: The reported securities are directly owned by V4 Global LLC ("V4") and may be deemed to be beneficially owned by the Reporting Person as managing member of V4. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein. |
| Common StockSEC Table I · non-derivative | IndirectBy Scot Cohen Roth IRA | 209,353 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 209,353 F3: The reported securities are directly owned by Scot Cohen Roth IRA ("SC IRA"). The Reporting Person is deemed the beneficial owners of such securities as the sole holder of the SC IRA. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of the Issuer's common stock, par value $0.0001 per share (the "Common Stock"), issued as a payment of dividends on the Issuer's Series A Convertible Preferred Stock, par value $0.0001 per share.
F2: The reported securities are directly owned by V4 Global LLC ("V4") and may be deemed to be beneficially owned by the Reporting Person as managing member of V4. The Reporting Person disclaims beneficial ownership of the reported securities except to the extent of his pecuniary interest therein.
F3: The reported securities are directly owned by Scot Cohen Roth IRA ("SC IRA"). The Reporting Person is deemed the beneficial owners of such securities as the sole holder of the SC IRA.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| November 16, 2022 Filed Nov 17, 2022 19:14 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | PurchaseCommon Stock | 10,000 | $2.12 | $21,237.00 |
DisclosureSEC source: 0001415889-22-011477 · form4-11172022_071130.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,904,828 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.055 to $2.1402, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnotes (1) and (2) to this Form 4. Read SEC document |
| November 15, 2022 Filed Nov 17, 2022 19:14 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | PurchaseCommon Stock | 50,000 | $2.00 | $100,020.00 |
DisclosureSEC source: 0001415889-22-011477 · form4-11172022_071130.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,894,828 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $1.9644 to $2.0371, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in footnotes (1) and (2) to this Form 4. Read SEC document |
| March 02, 2022 Filed Mar 4, 2022 21:48 UTC | Charlie's Holdings, Inc. CHUC · Entity 7095 | GrantCommon Stock | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-22-002554 · form4-03042022_010347.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 438,000 F1 · shares: Represents shares of restricted stock granted pursuant to the Issuer's 2019 Omnibus Equity Incentive Plan. The shares will no longer be subject to forfeiture in two equal annual installments, beginning on the first anniversary of the grant, subject to continued service. Read SEC document |
| April 22, 2021 Filed Apr 27, 2021 00:00 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | Tax withholdingCommon Stock | 12,110 | $5.00 | $60,550.00 |
DisclosureSEC source: 0001415889-21-002109 · form4-04262021_080402.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,844,828 F1 · kind: The shares were sold to satisfy income tax withholding obligations relating to the vesting of previously reported restricted stock. This sale is a result of the default provision under the Company's equity incentive plan and does not represent a discretionary trade by the Reporting Person. F2 · price: The price reported in Column 4 is a weighted average price.The shares were sold in multiple transactions at prices ranging from $4.96 to $5.23, inclusive. The reporting person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the ranges set forth in this footnote. Read SEC document |
| April 01, 2021 Filed Apr 6, 2021 00:37 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | GrantStock Options · Derivative | 100,000 | $0.00 Strike: $5.56 | $0.00 |
DisclosureSEC source: 0001415889-21-001897 · form4-04052021_050423.xml · derivative · entry 2 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2031-04-01 F2 · shares: Represents options granted in connection with the Reporting Person's service as Executive Chairman of the Issuer's Board of Directors. F3 · derivative.exercise_date: 30% of the options vest on the date of the grant, with the remainder vesting in eight equal monthly installments thereafter, becoming fully vested on December 1, 2021. Read SEC document |
| April 01, 2021 Filed Apr 6, 2021 00:37 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | GrantCommon Stock | 31,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001897 · form4-04052021_050423.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,856,938 F1 · shares: Represents shares granted in connection with the Reporting Person's service as Executive Chairman of the Issuer's Board of Directors. Read SEC document |
| March 10, 2021 Filed Mar 19, 2021 20:15 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | GiftCommon Stock | 400,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001594 · form4-03192021_040301.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,825,688 Read SEC document |
| December 30, 2020 Filed Mar 19, 2021 20:15 UTC | WRAP TECHNOLOGIES, INC. WRAP · Entity 6770 | GiftCommon Stock | 125,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001594 · form4-03192021_040301.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,225,688 Read SEC document |
| November 13, 2020 Filed Nov 16, 2020 19:54 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 15,000 | $6.02 | $90,268.50 |
DisclosureSEC source: 0001415889-20-002638 · form4-11162020_111113.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,350,688 Read SEC document |
| November 06, 2020 Filed Nov 10, 2020 17:17 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 12,000 | $6.36 | $76,339.20 |
DisclosureSEC source: 0001415889-20-002592 · form4-11102020_091129.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,335,688 Read SEC document |
| October 30, 2020 Filed Nov 3, 2020 14:14 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 20,000 | $5.05 | $101,094.00 |
DisclosureSEC source: 0001415889-20-002527 · form4-11032020_061129.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,323,688 Read SEC document |
| February 10, 2020 Filed Feb 12, 2020 21:51 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | OtherCommon Stock | 400,838 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-20-000315 · form4-02122020_010207.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro River Oil Corp. Disclosed balance after: 0 F1 · price: Petro River Oil Corp. ("Petro River") transferred its shares of common stock of the Issuer ("Shares") to a wholly owned subsidiary on February 10, 2020 in a transaction not involving a sale and for which no consideration was paid. The transfer was approved by a majority of disinterested directors of Petro River, consisting of three independent directors of the Board of Petro River. The reporting person is Executive Chairman of Petro River and is not a manager, officer or director of the subsidiary. The reporting person disclaims beneficial ownership of the Shares and that he has any pecuniary or other direct or indirect interest in the Shares, and this report shall not be deemed an admission that the reporting person is the beneficial owner of the securities or has any pecuniary or other direct or indirect interest in the Shares for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| January 16, 2020 Filed Jan 18, 2020 01:25 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | GrantCommon Stock | 43,782 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-20-000146 · form4-01172020_050131.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,303,688 F1 · kind: Represents grant of restricted stock units. Shares will be issued upon vesting, and shall vest as follows: (i) 1/3 one year from the date of grant, and (ii) the remaining 2/3 in equal installments every six months over the two-year period thereafter. Read SEC document |
| November 12, 2019 Filed Nov 13, 2019 18:06 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 15,000 | $3.60 | $54,000.00 |
DisclosureSEC source: 0001415889-19-001289 · form4-11132019_101106.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,259,906 F2 · price: This transaction was executed in multiple purchases at prices ranging from $3.55 to $3.80. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| November 11, 2019 Filed Nov 13, 2019 18:06 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 10,000 | $3.55 | $35,500.00 |
DisclosureSEC source: 0001415889-19-001289 · form4-11132019_101106.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,244,906 F1 · price: This transaction was executed in multiple purchases at prices ranging from $3.35 to $3.55. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| September 13, 2019 Filed Sep 17, 2019 22:41 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 5,000 | $4.17 | $20,845.00 |
DisclosureSEC source: 0001415889-19-001041 · form4-09172019_030945.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,234,906 Read SEC document |
| May 29, 2019 Filed Jun 10, 2019 17:25 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GiftCommon Stock | 117,809,439 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000680 · form4-06102019_100614.xml · nonDerivative · entry 3 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,800,000 Read SEC document |
| May 29, 2019 Filed Jun 10, 2019 17:25 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GiftCommon Stock | 3,249,220 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000680 · form4-06102019_100614.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 76,875,932 Read SEC document |
| May 29, 2019 Filed Jun 10, 2019 17:25 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GiftCommon Stock | 333,278 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000680 · form4-06102019_100614.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Scot Jason Cohen Foundation Disclosed balance after: 364,334 Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 15 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Scot Jason Cohen Foundation Disclosed balance after: 0 Underlying: Common Stock · 200,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 118,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 14 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 0 Underlying: Common Stock · 1,900,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 13 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 0 Underlying: Common Stock · 200,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 12 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 11 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,000,000 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. F4 · derivative.exercise_price: Each share of Series D Convertible Preferred Stock ("Series D Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $100 per share, divided by the conversion price of $0.025 per share. F9 · derivative.exercise_date: Shares of the Series D Preferred were exercisable immediately upon issuance, and had no expiration date. F9 · derivative.expiration_date: Shares of the Series D Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantWarrants · Derivative | 56,416,355 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 10 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,416,355 Underlying: Common Stock · 56,416,355 shares Expires 2024-04-26 F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series A Convertible Preferred Stock ("Series A Preferred") (the "Exchange"). F8 · derivative.exercise_date: Warrants may be exercised at anytime after such date that the Registrant has effected the Charter Amendment. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantSeries A Convertible Preferred Stock · Derivative | 3,750.97 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · derivative · entry 9 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750.97 Underlying: Common Stock · 84,624,602 shares Expires not disclosed F5 · derivative.exercise_price: Each share of Series A Preferred has a stated value of $100 per share, and is convertible into that number of shares of Common Stock equal to such stated value divided by 0.0044313. F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series A Convertible Preferred Stock ("Series A Preferred") (the "Exchange"). F6 · derivative.exercise_date: Shares of Series A Preferred may be converted into shares of the Registrant's common stock at anytime after such date that the Registrant has amended it Articles of Incorporation, as amended, to increase the number of shares of common stock authorized for issuance thereunder by a sufficient amount to allow for the conversion of all derivative securities issued by the Registrant to individuals in connection with the Exchange (the "Charter Amendment"). F7 · derivative.expiration_date: Shares of Series A Preferred have no expiration date. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 8 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Scot Jason Cohen Foundation Disclosed balance after: 200,000 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. F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 1,900,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 7 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 75,241,261 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: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 6 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by IRA Disclosed balance after: 200,000 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. F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 16,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 5 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 198,433,148 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. F4 · price: Each share of Series D Convertible Preferred Stock ("Series D Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $100 per share, divided by the conversion price of $0.025 per share. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 60,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 4 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,433,148 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: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 73,341,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 3 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 73,341,261 F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 73,341,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 182,373,148 F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange. Read SEC document |
| April 26, 2019 Filed May 6, 2019 19:44 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 101,549,439 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000503 · form4-05062019_120553.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,031,887 F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series A Convertible Preferred Stock ("Series A Preferred") (the "Exchange"). Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 15 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Scot Jason Cohen Foundation Disclosed balance after: 0 Underlying: Common Stock · 200,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 118,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 14 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 0 Underlying: Common Stock · 1,900,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 12,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 13 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 0 Underlying: Common Stock · 200,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries B Convertible Preferred Stock · Derivative | 3,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 12 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 60,000 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. F3 · derivative.exercise_price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. F10 · derivative.exercise_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. F10 · derivative.expiration_date: Shares of the Series B Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionSeries D Convertible Preferred Stock · Derivative | 4,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 11 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 16,000,000 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. F4 · derivative.exercise_price: Each share of Series D Convertible Preferred Stock ("Series D Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $100 per share, divided by the conversion price of $0.025 per share. F9 · derivative.exercise_date: Shares of the Series D Preferred were exercisable immediately upon issuance, and had no expiration date. F9 · derivative.expiration_date: Shares of the Series D Preferred were exercisable immediately upon issuance, and had no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantWarrants · Derivative | 56,416,355 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 10 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 56,416,355 Underlying: Common Stock · 56,416,355 shares Expires 2024-04-26 F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock, Series A Convertible Preferred Stock ("Series A Preferred"), and warrants to purchase shares of the Registrant's common stock (the "Exchange"). F8 · derivative.exercise_date: Warrants may be exercised at anytime after such date that the Registrant has effected the Charter Amendment. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantSeries A Convertible Preferred Stock · Derivative | 3,750.97 | Not disclosed Strike: $0.00 | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · derivative · entry 9 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,750.97 Underlying: Common Stock · 84,624,602 shares Expires not disclosed F5 · derivative.exercise_price: Each share of Series A Preferred has a stated value of $100 per share, and is convertible into that number of shares of Common Stock equal to such stated value divided by 0.0044313. F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock, Series A Convertible Preferred Stock ("Series A Preferred"), and warrants to purchase shares of the Registrant's common stock (the "Exchange"). F6 · derivative.exercise_date: Shares of Series A Preferred may be converted into shares of the Registrant's common stock at anytime after such date that the Registrant has amended it Articles of Incorporation, as amended, to increase the number of shares of common stock authorized for issuance thereunder by a sufficient amount to allow for the conversion of all derivative securities issued by the Registrant to individuals in connection with the Exchange (the "Charter Amendment"). F7 · derivative.expiration_date: Shares of Series A Preferred have no expiration date. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 8 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Scot Jason Cohen Foundation Disclosed balance after: 697,612 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: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 1,900,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 7 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 80,125,152 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: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 6 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · by IRA Disclosed balance after: 200,000 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. F3 · price: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 16,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 5 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 121,609,439 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. F4 · price: Each share of Series D Convertible Preferred Stock ("Series D Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $100 per share, divided by the conversion price of $0.025 per share. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | ConversionCommon Stock | 60,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 4 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,609,439 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: Each share of Series B Convertible Preferred Stock ("Series B Preferred") was convertible into that number of shares of the Registrant's common stock equal to the stated value, $4 per share, divided by the conversion price of $0.25 per share. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 73,341,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 3 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By V3 Capital Partners LLC Disclosed balance after: 78,225,152 F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 73,341,261 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 105,549,439 F2 · price: Shares issued to the Reporting Person as compensation for advisory services rendered by the Reporting Person in connection with Exchange. Read SEC document |
| April 26, 2019 Filed Jun 10, 2019 17:23 UTC Amendment | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 28,208,178 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000679 · form4a-06102019_100632.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,208,178 F1 · price: Securities received by the Reporting Person in exchange for 200,000 membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock, Series A Convertible Preferred Stock ("Series A Preferred"), and warrants to purchase shares of the Registrant's common stock (the "Exchange"). Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantWarrant · Derivative | 1,250,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 12 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding II, LLC Disclosed balance after: 1,250,000 Underlying: Common Stock · 1,250,000 shares Expires 2024-01-31 F8 · price: The reported transactions involved the modification of certain outstanding warrants in connection with the Funding Corp. II Debt Conversion, resulting in the deemed cancellation of the "old" warrants and the grant of replacement warrants with a reduced exercise price of $0.50 per share, which modifications were approved in advance by the Issuer's Board of Directors on January 7, 2019. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. 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.