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 |
|---|---|---|---|---|---|---|
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | Disposition to issuerWarrant · Derivative | 1,250,000 | Not disclosed Strike: $2.00 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 11 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding II, LLC Disclosed balance after: 0 Underlying: Common Stock · 1,250,000 shares Expires 2020-02-06 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 |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantWarrant · Derivative | 840,336 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 10 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding, LLC Disclosed balance after: 840,336 Underlying: Common Stock · 840,336 shares Expires 2024-01-31 F7 · price: 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. Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | Disposition to issuerWarrant · Derivative | 840,336 | Not disclosed Strike: $2.38 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 9 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding, LLC Disclosed balance after: 0 Underlying: Common Stock · 840,336 shares Expires 2020-06-13 F7 · price: 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. Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantSeries A Convertible Preferred Stock · Derivative | 58,009 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 8 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding II, LLC Disclosed balance after: 58,009 Underlying: Common Stock · 2,900,450 shares Expires not disclosed F6 · price: 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 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3 · derivative.underlying_shares: 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. Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantSeries A Convertible Preferred Stock · Derivative | 36,406 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 7 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By Petro Exploration Funding, LLC Disclosed balance after: 36,406 Underlying: Common Stock · 1,820,300 shares Expires not disclosed F5 · price: 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 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3 · derivative.underlying_shares: 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. Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantWarrant · Derivative | 2,594,040 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 6 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,594,040 Underlying: Common Stock · 2,594,040 shares Expires 2024-01-31 F4 · price: 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. Read SEC document |
| January 31, 2019 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantSeries A Convertible Preferred Stock · Derivative | 51,881 | Not disclosed Strike: $0.40 | Not disclosed |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · derivative · entry 5 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 51,881 Underlying: Common Stock · 2,594,040 shares Expires not disclosed F4 · price: 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 · derivative.expiration_date: Shares of Series A Convertible Preferred Stock ("Series A Preferred") remain convertible so long as the shares remain issued and outstanding. F3 · derivative.underlying_shares: 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. Read SEC document |
| December 11, 2018 Filed Dec 13, 2018 00:18 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | PurchaseCommon Stock | 25,000 | $3.38 | $84,500.00 |
DisclosureSEC source: 0001415889-18-001756 · form4-12122018_041210.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,229,906 Read SEC document |
| October 02, 2018 Filed Feb 8, 2019 11:40 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantCommon Stock | 300,000 | $0.83 | $249,000.00 |
DisclosureSEC source: 0001415889-19-000141 · form4-02082019_080216.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Indirect · By ICO Liquidating Trust Disclosed balance after: 605,431 F1 · shares: 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. Read SEC document |
| July 05, 2018 Filed Jul 7, 2018 01:55 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantStock Option · Derivative | 7,114,826 | $0.00 Strike: $0.02 | $0.00 |
DisclosureSEC source: 0001415889-18-001091 · form4-07062018_060741.xml · derivative · entry 1 Cohen Scot · CIK 0001558913 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,114,826 Underlying: Common Stock · 7,114,826 shares Expires 2028-01-30 Read SEC document |
| May 24, 2018 Filed Jun 15, 2018 18:25 UTC | Petro River Oil Corp. PTRC · Entity 160478 | GrantCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-18-000946 · form4-06152018_030628.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,988,005 F1 · price: Shares reported herein were issued in exchange for the Reporting Person's agreement to reduce his annual cash compensation by 50%, and shall vest in equal monthly installments over a 12 month period. Read SEC document |
| May 23, 2018 Filed May 25, 2018 21:00 UTC | WRAP TECHNOLOGIES, INC. WRTC · Entity 6770 | GrantStock Options · Derivative | 150,000 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-18-000827 · form4-05252018_050510.xml · derivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2023-05-23 F2 · price: Options reported herein were issued pursuant to the Issuer's 2017 Equity Compensation Plan. F1 · derivative.exercise_date: 50% of the Stock Options vest immediately, with the remainder vesting on the one-year anniversary of the grant date. Read SEC document |
| March 28, 2018 Filed Apr 2, 2018 16:36 UTC | Petro River Oil Corp. PTRC · Entity 160478 | PurchaseCommon Stock | 10,000 | $0.88 | $8,800.00 |
DisclosureSEC source: 0001415889-18-000497 · form4-04022018_010447.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,888,005 Read SEC document |
| January 02, 2018 Filed Jan 3, 2018 18:45 UTC | Petro River Oil Corp. PTRC · Entity 160478 | PurchaseCommon Stock | 23,768 | $1.44 | $34,225.92 |
DisclosureSEC source: 0001415889-18-000010 · form4-01032018_030136.xml · nonDerivative · entry 2 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,878,005 Read SEC document |
| December 29, 2017 Filed Jan 3, 2018 18:45 UTC | Petro River Oil Corp. PTRC · Entity 160478 | PurchaseCommon Stock | 12,450 | $1.41 | $17,554.50 |
DisclosureSEC source: 0001415889-18-000010 · form4-01032018_030136.xml · nonDerivative · entry 1 Cohen Scot · CIK 0001558913 · Director · EXECUTIVE CHAIRMAN 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,854,237 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.