Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Empery Digital Inc.VLCN · Entity 21 | Director · 10% owner | December 20, 2021 | December 22, 2021 |
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.
Empery Digital Inc.
Report date December 20, 2021 · Filed December 22, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectFootnote | 1,237,000 |
Reported balance
After 2021-12-20 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2021-12-20 · Purchase · Acquired 5,600 · Balance 1,237,000 F1: This transaction was executed in multiple trades at prices ranging from $7.21 to $7.33. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2: The shares are held by limited liability companies of which the reporting person is the sole manager. |
| Common StockSEC Table I · non-derivative | IndirectFootnote | 6,744,575 |
Reported balance
After 2021-12-20 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-12-20 · Exercise / conversion · Acquired 5,507,575 · Balance 6,744,575 F3: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. F4: The number of shares issuable upon a cashless exercise is determined, in accordance with Section 2(c) of the warrant agreement by dividing (x) the product of the number of shares of common stock underlying the warrant multiplied by the difference between $0.98 and (y) the VWAP on the trading day immediately preceding the date of exercise since the notice of exercise was both executed and delivered prior to the opening of "regular trading hours" (as defined in Rule 600(b)(64) of Regulation NMS promulgated under the federal securities laws) on the date of the exercise. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.98 · Expires 2030-03-26 | IndirectFootnote | 0 |
Reported balance
After 2021-12-20 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-12-20 · Exercise / conversion · Disposed 6,250,000 · Balance 0 F3: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $7.21 to $7.33. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected.
F2: The shares are held by limited liability companies of which the reporting person is the sole manager.
F3: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended.
F4: The number of shares issuable upon a cashless exercise is determined, in accordance with Section 2(c) of the warrant agreement by dividing (x) the product of the number of shares of common stock underlying the warrant multiplied by the difference between $0.98 and (y) the VWAP on the trading day immediately preceding the date of exercise since the notice of exercise was both executed and delivered prior to the opening of "regular trading hours" (as defined in Rule 600(b)(64) of Regulation NMS promulgated under the federal securities laws) on the date of the exercise.
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 |
|---|---|---|---|---|---|---|
| December 20, 2021 Filed Dec 22, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | Exercise / conversionWarrant (right to buy) · Derivative | 6,250,000 | Not disclosed Strike: $0.98 | Not disclosed |
DisclosureSEC source: 0001683168-21-006503 · ownership.xml · derivative · entry 3 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 0 Underlying: Common Stock · 6,250,000 shares Expires 2030-03-26 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. F3 · ownership.nature: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 20, 2021 Filed Dec 22, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | Exercise / conversionCommon Stock | 5,507,575 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001683168-21-006503 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 6,744,575 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. F4 · price: The number of shares issuable upon a cashless exercise is determined, in accordance with Section 2(c) of the warrant agreement by dividing (x) the product of the number of shares of common stock underlying the warrant multiplied by the difference between $0.98 and (y) the VWAP on the trading day immediately preceding the date of exercise since the notice of exercise was both executed and delivered prior to the opening of "regular trading hours" (as defined in Rule 600(b)(64) of Regulation NMS promulgated under the federal securities laws) on the date of the exercise. F3 · ownership.nature: The warrant was held by Highbridge Consultants, LLC and was originally issued for consulting services in August 2020. Mr. Adrian James is the sole manager of Highbridge Consultants, LLC and has voting and dispositive power over the securities. On December 20, 2021, Highbridge Consultants, LLC exercised the 6,250,000 warrants on a cashless basis pursuant to the terms of the warrant agreement. The issuance of the warrant was exempted pursuant to Rule 16b-3 of the Securities Exchange Act of 1934, as amended. Read SEC document |
| December 20, 2021 Filed Dec 22, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 5,600 | $7.24 | $40,544.00 |
DisclosureSEC source: 0001683168-21-006503 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · Footnote Disclosed balance after: 1,237,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $7.21 to $7.33. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 08:56 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 2,100 | $10.91 | $22,911.00 |
DisclosureSEC source: 0001683168-21-006313 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 1,231,400 F2 · price: This transaction was executed in multiple trades at prices ranging from $10.91 to $10.92. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| December 13, 2021 Filed Dec 14, 2021 08:56 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 200 | $12.20 | $2,440.00 |
DisclosureSEC source: 0001683168-21-006313 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · see footnotes Disclosed balance after: 1,229,300 F1 · price: This transaction was executed in multiple trades at prices ranging from $12.08 to $12.32. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 6,633 | $16.55 | $109,776.15 |
DisclosureSEC source: 0001683168-21-005832 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,229,100 F2 · price: This transaction was executed in multiple trades at prices ranging from $16.20 to $17.19. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 18, 2021 Filed Nov 19, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 7,767 | $15.73 | $122,174.91 |
DisclosureSEC source: 0001683168-21-005832 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,222,467 F1 · price: This transaction was executed in multiple trades at prices ranging from $15.18 to $16.18. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 17, 2021 Filed Nov 18, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 4,559 | $16.32 | $74,402.88 |
DisclosureSEC source: 0001683168-21-005797 · ownership.xml · nonDerivative · entry 3 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,214,700 F3 · price: This transaction was executed in multiple trades at prices ranging from $16.28 to $16.37. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 17, 2021 Filed Nov 18, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 9,175 | $15.96 | $146,433.00 |
DisclosureSEC source: 0001683168-21-005797 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,210,141 F2 · price: This transaction was executed in multiple trades at prices ranging from $15.27 to $16.27. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 17, 2021 Filed Nov 18, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 7,916 | $14.69 | $116,286.04 |
DisclosureSEC source: 0001683168-21-005797 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,200,966 F1 · price: This transaction was executed in multiple trades at prices ranging from $14.25 to $15.00. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F4 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| November 16, 2021 Filed Nov 17, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 34,150 | $14.30 | $488,345.00 |
DisclosureSEC source: 0001683168-21-005777 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,193,050 F1 · price: This transaction was executed in multiple trades at prices ranging from $14.26 to $15.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: The shares are held by limited liability companies of which the reporting person is the sole manager. Read SEC document |
| October 25, 2021 Filed Oct 26, 2021 09:12 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 6,300 | $11.14 | $70,182.00 |
DisclosureSEC source: 0001683168-21-005026 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · see footnote Disclosed balance after: 1,153,900 F1 · price: This transaction was executed in multiple trades at prices ranging from $11.06 to $11.25. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and the remaining shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 22, 2021 Filed Oct 25, 2021 08:30 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 27,302 | $8.94 | $244,079.88 |
DisclosureSEC source: 0001683168-21-004993 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,147,600 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.55 to $9.27. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and the remaining shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 19, 2021 Filed Oct 20, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 3,000 | $8.63 | $25,890.00 |
DisclosureSEC source: 0001683168-21-004933 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,100,000 F2 · price: This transaction was executed in multiple trades at prices ranging from $8.55 to $8.68. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and 350,000 shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 19, 2021 Filed Oct 20, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 112,000 | $9.15 | $1,024,800.00 |
DisclosureSEC source: 0001683168-21-004933 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,097,000 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.69 to $9.69. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and 350,000 shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 19, 2021 Filed Oct 22, 2021 09:00 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 23,298 | $8.67 | $201,993.66 |
DisclosureSEC source: 0001683168-21-004974 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 1,120,298 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.30 to $8.83. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F2 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and the remaining shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 08:45 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 87,300 | $9.38 | $818,874.00 |
DisclosureSEC source: 0001683168-21-004901 · ownership.xml · nonDerivative · entry 2 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 985,000 F2 · price: This transaction was executed in multiple trades at prices ranging from $9.12 to $9.79. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and 235,000 shares are held by a limited liability company of which the reporting person is the sole manager. Read SEC document |
| October 18, 2021 Filed Oct 19, 2021 08:45 UTC | Empery Digital Inc. VLCN · Entity 21 | PurchaseCommon Stock | 147,700 | $8.75 | $1,292,375.00 |
DisclosureSEC source: 0001683168-21-004901 · ownership.xml · nonDerivative · entry 1 James Adrian · CIK 0001614114 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See footnote Disclosed balance after: 897,700 F1 · price: This transaction was executed in multiple trades at prices ranging from $8.10 to $9.10. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares and prices at which the transaction was effected. F3 · ownership.nature: Of the foregoing, 750,000 shares are held directly by the reporting person and 235,000 shares are held by a limited liability company of which the reporting person is the sole manager. 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.