person · Reporting owner
Minicozzi Richard Michael
Disclosed activity across 1 company
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AUDDIA INC.AUUD · Entity 8213 | 10% owner | April 17, 2023 | April 19, 2023 |
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.
AUDDIA INC.
Report date April 17, 2023 · Filed April 19, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $2.10 · Expires 2027-11-14 | Direct | 0 |
Reported balance
After 2023-04-17 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-04-17 · Other · Disposed 300,000 · Balance 0 F1: As part of a $2.2 million secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant had a five year term and a fixed exercise price of $2.10 per share. The warrant was immediately exercisable. In connection with a subsequent secured bridge note private placement financing dated April 17, 2023, this warrant was cancelled by agreement of the parties. This warrant was never exercised and no common shares were ever issued in respect of this warrant. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.61 · Expires 2028-04-17 | Direct | 650,000 |
Reported balance
After 2023-04-17 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-04-17 · Purchase · Acquired 650,000 · Balance 650,000 F2: As part of a $825,000 secured bridge note private placement financing dated April 17, 2023, the reporting person was issued a common stock purchase warrant for 650,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (325,000 shares) of this warrant is immediately exercisable. 50% (325,000 shares) will only become exercisable if the term of the 4/17/2023 secured bridge note is extended in accordance with the terms of such note. F4: The warrants were issued in connection with the reporting person's purchase of a secured bridge note in a private placement on April 19, 2023. No specific portion of the aggregate purchase price was allocated to the note or the warrants. |
| Warrants (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.61 · Expires 2028-04-17 | Direct | 600,000 |
Reported balance
After 2023-04-17 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-04-17 · Purchase · Acquired 600,000 · Balance 600,000 F3: In connection with the April 17, 2023 financing, the reporting person was also issued an additional common stock purchase warrant for 600,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (300,000 shares) is immediately exercisable. 50% (300,000 shares) of this warrant will only become exercisable if the term of the 11/14/2022 secured bridge note is extended in accordance with the terms of such note. F4: The warrants were issued in connection with the reporting person's purchase of a secured bridge note in a private placement on April 19, 2023. No specific portion of the aggregate purchase price was allocated to the note or the warrants. |
| Secured Bridge Note (conversion right)SEC Table II · derivative / convertible security · Conversion / exercise price $0.61 | Direct | 162,295 |
Reported balance
After 2023-04-17 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2023-04-17 · Purchase · Acquired 162,295 · Balance 162,295 F5: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. |
Filing footnotes · ownership attribution and instrument terms
F1: As part of a $2.2 million secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant had a five year term and a fixed exercise price of $2.10 per share. The warrant was immediately exercisable. In connection with a subsequent secured bridge note private placement financing dated April 17, 2023, this warrant was cancelled by agreement of the parties. This warrant was never exercised and no common shares were ever issued in respect of this warrant.
F2: As part of a $825,000 secured bridge note private placement financing dated April 17, 2023, the reporting person was issued a common stock purchase warrant for 650,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (325,000 shares) of this warrant is immediately exercisable. 50% (325,000 shares) will only become exercisable if the term of the 4/17/2023 secured bridge note is extended in accordance with the terms of such note.
F3: In connection with the April 17, 2023 financing, the reporting person was also issued an additional common stock purchase warrant for 600,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (300,000 shares) is immediately exercisable. 50% (300,000 shares) of this warrant will only become exercisable if the term of the 11/14/2022 secured bridge note is extended in accordance with the terms of such note.
F4: The warrants were issued in connection with the reporting person's purchase of a secured bridge note in a private placement on April 19, 2023. No specific portion of the aggregate purchase price was allocated to the note or the warrants.
F5: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note.
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 |
|---|---|---|---|---|---|---|
| April 17, 2023 Filed Apr 19, 2023 20:02 UTC | AUDDIA INC. AUUD · Entity 8213 | PurchaseSecured Bridge Note (conversion right) · Derivative | 162,295 | Not disclosed Strike: $0.61 | Not disclosed |
DisclosureSEC source: 0001683168-23-002529 · ownership.xml · derivative · entry 4 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 162,295 Underlying: Common Stock · 162,295 shares Expires not disclosed F5 · shares: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. F5 · price: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. F5 · derivative.exercise_date: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. F5 · derivative.expiration_date: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. F5 · balance_after: At the 7/31/2023 maturity date for the $825,000 secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $0.61 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 162,295 shares disclosed above assumes that the conversion option could be exercised as of 7/31/2023, at which time $99,000 (i.e. $75,000 of OID and $24,000 of interest) could be converted into 162,295 shares using the $0.61 fixed conversion price. No specific portion of the $750,000 aggregate purchase price was allocated to the conversion feature of the note. Read SEC document |
| April 17, 2023 Filed Apr 19, 2023 20:02 UTC | AUDDIA INC. AUUD · Entity 8213 | PurchaseWarrants (right to buy) · Derivative | 600,000 | Not disclosed Strike: $0.61 | Not disclosed |
DisclosureSEC source: 0001683168-23-002529 · ownership.xml · derivative · entry 3 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 600,000 Underlying: Common Stock · 600,000 shares Expires 2028-04-17 F3 · shares: In connection with the April 17, 2023 financing, the reporting person was also issued an additional common stock purchase warrant for 600,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (300,000 shares) is immediately exercisable. 50% (300,000 shares) of this warrant will only become exercisable if the term of the 11/14/2022 secured bridge note is extended in accordance with the terms of such note. F4 · price: The warrants were issued in connection with the reporting person's purchase of a secured bridge note in a private placement on April 19, 2023. No specific portion of the aggregate purchase price was allocated to the note or the warrants. Read SEC document |
| April 17, 2023 Filed Apr 19, 2023 20:02 UTC | AUDDIA INC. AUUD · Entity 8213 | PurchaseWarrants (right to buy) · Derivative | 650,000 | Not disclosed Strike: $0.61 | Not disclosed |
DisclosureSEC source: 0001683168-23-002529 · ownership.xml · derivative · entry 2 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 650,000 Underlying: Common Stock · 650,000 shares Expires 2028-04-17 F2 · shares: As part of a $825,000 secured bridge note private placement financing dated April 17, 2023, the reporting person was issued a common stock purchase warrant for 650,000 shares. The warrant has a five year term and a fixed exercise price of $0.61 per share. 50% (325,000 shares) of this warrant is immediately exercisable. 50% (325,000 shares) will only become exercisable if the term of the 4/17/2023 secured bridge note is extended in accordance with the terms of such note. F4 · price: The warrants were issued in connection with the reporting person's purchase of a secured bridge note in a private placement on April 19, 2023. No specific portion of the aggregate purchase price was allocated to the note or the warrants. Read SEC document |
| April 17, 2023 Filed Apr 19, 2023 20:02 UTC | AUDDIA INC. AUUD · Entity 8213 | OtherWarrants (right to buy) · Derivative | 300,000 | Not disclosed Strike: $2.10 | Not disclosed |
DisclosureSEC source: 0001683168-23-002529 · ownership.xml · derivative · entry 1 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 300,000 shares Expires 2027-11-14 F1 · shares: As part of a $2.2 million secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant had a five year term and a fixed exercise price of $2.10 per share. The warrant was immediately exercisable. In connection with a subsequent secured bridge note private placement financing dated April 17, 2023, this warrant was cancelled by agreement of the parties. This warrant was never exercised and no common shares were ever issued in respect of this warrant. F1 · price: As part of a $2.2 million secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant had a five year term and a fixed exercise price of $2.10 per share. The warrant was immediately exercisable. In connection with a subsequent secured bridge note private placement financing dated April 17, 2023, this warrant was cancelled by agreement of the parties. This warrant was never exercised and no common shares were ever issued in respect of this warrant. F1 · derivative.exercise_date: As part of a $2.2 million secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant had a five year term and a fixed exercise price of $2.10 per share. The warrant was immediately exercisable. In connection with a subsequent secured bridge note private placement financing dated April 17, 2023, this warrant was cancelled by agreement of the parties. This warrant was never exercised and no common shares were ever issued in respect of this warrant. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 23:43 UTC | AUDDIA INC. AUUD · Entity 8213 | PurchaseSecured Bridge Note (conversion right) · Derivative | 252,033 | Not disclosed Strike: $1.23 | Not disclosed |
DisclosureSEC source: 0001683168-22-007825 · ownership.xml · derivative · entry 2 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 252,033 Underlying: Common Stock · 252,033 shares Expires not disclosed F3 · shares: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. F3 · price: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. F3 · derivative.exercise_date: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. F3 · derivative.expiration_date: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. F3 · derivative.underlying_shares: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. F3 · balance_after: At the 5/31/2023 maturity date for the secured bridge note, the holder has the option to convert accrued/unpaid interest and original issue discount into shares of common stock at a fixed conversion price of $1.23 per share. The Company has an option to extend the maturity date to November 30, 2023. Accordingly, the number of potential conversion shares cannot be calculated precisely at this point. The 252,033 shares disclosed above assume that the conversion option could be exercised as of 5/23/2023, at which time $310,000 (i.e. $200,000 of OID and $110,000 of interest) could be converted into 252,033 shares using the $1.23 fixed conversion price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the conversion feature of the note. Read SEC document |
| November 14, 2022 Filed Nov 16, 2022 23:43 UTC | AUDDIA INC. AUUD · Entity 8213 | PurchaseWarrants (right to buy) · Derivative | 300,000 | Not disclosed Strike: $2.10 | Not disclosed |
DisclosureSEC source: 0001683168-22-007825 · ownership.xml · derivative · entry 1 Minicozzi Richard Michael · CIK 0001847895 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 300,000 Underlying: Common Stock · 300,000 shares Expires 2027-11-14 F1 · shares: As part of a secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant has a five year term and a fixed exercise price of $2.10 per share. The warrant is immediately exercisable. F2 · price: The warrant was issued in connection with the reporting person's purchase of a secured bridge note in a private placement on November 14, 2022 for $2,000,000 aggregate purchase price. No specific portion of the $2,000,000 aggregate purchase price was allocated to the note or the warrant. F1 · derivative.exercise_date: As part of a secured bridge note private placement financing dated November 14, 2022, the reporting person was issued a common stock purchase warrant for 300,000 shares. The warrant has a five year term and a fixed exercise price of $2.10 per share. The warrant is immediately exercisable. 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.