person · Reporting owner
Ibex Microcap Fund LLLP
Disclosed activity across 4 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| BARFRESH FOOD GROUP INC.BRFH · Entity 7628 | Director · 10% owner | July 06, 2021 | July 06, 2021 |
| BLUE SPHERE CORP.BLSP · Entity 167689 | 10% owner | December 31, 2016 | January 18, 2017 |
| GB SCIENCES INCGBLX · Entity 164724 | 10% owner | October 04, 2016 | October 12, 2016 |
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.
BARFRESH FOOD GROUP INC.
Report date July 06, 2021 · Filed July 06, 2021
Jointly reported with Ibex Investors LLC, BORUS JUSTIN B
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.53 · Expires 2021-07-31 | IndirectSee Footnotes | 0 |
Reported balance
After 2021-07-06 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2021-07-06 · Disposition to issuer · Disposed 1,800,000 · Balance 0 F1: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F2: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F3: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities. F4: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I. |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.53 · Expires 2023-07-31 | IndirectSee Footnotes | 1,800,000 |
Reported balance
After 2021-07-06 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-07-06 · Grant · Acquired 1,800,000 · Balance 1,800,000 F1: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F2: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F3: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities. F4: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023.
F2: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer.
F3: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities.
F4: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I.
BLUE SPHERE CORP.
Report date December 31, 2016 · Filed January 18, 2017
Jointly reported with Ibex Investors LLC, BORUS JUSTIN B, Ibex Israel Fund 1 LLLP, Ibex Israel Fund LLLP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 66,361,895 |
Last balance in matching sequence
After 2016-12-27 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2016-12-22 · Other · Acquired 60,000 · Balance 66,351,895 F1: Not required to be reported earlier because transactions collectively qualify as a "small acquisition" under Rule 16a-6 promulgated under the Securities Exchange Act of 1934. F2: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F3: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.069 to $0.07, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F4: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,343,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F5: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Row 2 · 2016-12-27 · Other · Acquired 10,000 · Balance 66,361,895 F1: Not required to be reported earlier because transactions collectively qualify as a "small acquisition" under Rule 16a-6 promulgated under the Securities Exchange Act of 1934. F2: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,343,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F5: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Not required to be reported earlier because transactions collectively qualify as a "small acquisition" under Rule 16a-6 promulgated under the Securities Exchange Act of 1934.
F2: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II").
F3: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.069 to $0.07, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote.
F4: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,343,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP.
F5: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein.
GB SCIENCES INC
Report date October 04, 2016 · Filed October 12, 2016 · Amendment
Jointly reported with Ibex Investors LLC, BORUS JUSTIN B, Ibex Israel Fund 1 LLLP
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee Footnotes | 4,000,000 |
Reported balance
After 2016-10-06 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2016-10-06 · Sale · Disposed 506,479 · Balance 4,000,000 F1: On October 6, 2016 the Reporting Person filed a Form 4 (the "Original Form 4") reporting a sale of an aggregate of 600,000 shares of the Issuer's common stock, which shares were reported as sold by Lazarus Investment Partners LLLP ("Lazarus Partners"). In fact, the sale was of an aggregate of 506,479 shares, of which 84,632 shares were sold directly by Lazarus Partners and 421,847 shares were sold directly by Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel"). This amendment to the Original Form 4 is filed solely for the purpose of reflecting the actual number of shares sold, reflecting the actual number of shares owned following the reported transaction, and clarifying the identity of the direct sellers. F2: The Price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.30 to $0.3175, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 range set forth in this footnote. F3: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Partners and Lazarus Israel (collectively, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel owns 1,000,000 shares of common stock and 1,000,000 warrants; and (ii) Lazarus Partners owns 3,000,000 shares of common stock and 3,000,000 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F4: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: On October 6, 2016 the Reporting Person filed a Form 4 (the "Original Form 4") reporting a sale of an aggregate of 600,000 shares of the Issuer's common stock, which shares were reported as sold by Lazarus Investment Partners LLLP ("Lazarus Partners"). In fact, the sale was of an aggregate of 506,479 shares, of which 84,632 shares were sold directly by Lazarus Partners and 421,847 shares were sold directly by Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel"). This amendment to the Original Form 4 is filed solely for the purpose of reflecting the actual number of shares sold, reflecting the actual number of shares owned following the reported transaction, and clarifying the identity of the direct sellers.
F2: The Price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.30 to $0.3175, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 range set forth in this footnote.
F3: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Partners and Lazarus Israel (collectively, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel owns 1,000,000 shares of common stock and 1,000,000 warrants; and (ii) Lazarus Partners owns 3,000,000 shares of common stock and 3,000,000 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management.
F4: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Aeon Global Health Corp.
Report date December 10, 2020 · Filed December 11, 2020
Jointly reported with Ibex Investors LLC, Lazarus Macro Micro Partners LLLP, BORUS JUSTIN B
Section 16 reporting ended · disclosed 2020-12-11. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy: Ibex Microcap Fund LLLP | 35,861 |
Reported balance
After 2020-12-10 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2020-12-10 · Sale · Disposed 74,173 · Balance 35,861 F1: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. |
| Common StockSEC Table I · non-derivative | IndirectBy: Lazarus Macro Micro Partners LLLP | 833 |
Reported balance
Holding disclosure · report date 2020-12-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 833 F2: These securities reported herein are owned directly by Lazarus Macro Micro Partners LLLP ("Macro Micro"). Ibex is the investment adviser and general partner of Macro Micro. F3: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. |
Filing footnotes · ownership attribution and instrument terms
F1: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex.
F2: These securities reported herein are owned directly by Lazarus Macro Micro Partners LLLP ("Macro Micro"). Ibex is the investment adviser and general partner of Macro Micro.
F3: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein.
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 |
|---|---|---|---|---|---|---|
| July 06, 2021 Filed Jul 6, 2021 20:44 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | GrantWarrant (right to buy) · Derivative | 1,800,000 | Not disclosed Strike: $0.53 | Not disclosed |
DisclosureSEC source: 0001104659-21-089456 · tm2121526-1_4seq1.xml · derivative · entry 2 Ibex Investors LLC · CIK 0001531964 · Director · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,800,000 Underlying: Common Stock · 1,800,000 shares Expires 2023-07-31 F1 · kind: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F1 · price: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F3 · ownership.nature: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities. F4 · ownership.nature: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I. Read SEC document |
| July 06, 2021 Filed Jul 6, 2021 20:44 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | Disposition to issuerWarrant (right to buy) · Derivative | 1,800,000 | Not disclosed Strike: $0.53 | Not disclosed |
DisclosureSEC source: 0001104659-21-089456 · tm2121526-1_4seq1.xml · derivative · entry 1 Ibex Investors LLC · CIK 0001531964 · Director · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,800,000 shares Expires 2021-07-31 F1 · kind: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F1 · price: On July 6, 2021, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2023. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F3 · ownership.nature: These securities are owned directly by Ibex Microcap Fund LLLP (the "Fund"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of the Fund, and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of these securities except to the extent of its or his pecuniary interest therein, if any. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of these securities. F4 · ownership.nature: Lazarus Macro Micro Partners LLLP ("Macro Micro Partners") has been removed as a Reporting Person as it no longer beneficially owns any of the Issuer's securities, having transferred 3,000 shares of common stock to Mr. Borus (its sole owner) personally on December 24, 2020. Such transaction was exempt from Section 16 of the Securities Exchange Act of 1934 and will be reflected in the next Form 4 that reports a transaction in Table I. Read SEC document |
| December 10, 2020 Filed Dec 11, 2020 16:01 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 74,173 | $0.07 | $4,895.42 |
DisclosureSEC source: 0001104659-20-134755 · tm2038314d1_4.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 35,861 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| September 23, 2020 Filed Sep 26, 2020 01:46 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 642,857 | Not disclosed Strike: $0.45 | Not disclosed |
DisclosureSEC source: 0001104659-20-109032 · a4.xml · derivative · entry 4 Ibex Investors LLC · CIK 0001531964 · Director · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · Director · 10% owner BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Justin Borus Disclosed balance after: 2,142,857 Underlying: Common Stock · 642,857 shares Expires 2023-04-15 F3 · derivative.exercise_price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · derivative.exercise_price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · kind: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · kind: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · derivative.underlying_shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · derivative.underlying_shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · balance_after: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · balance_after: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F1 · ownership.nature: This Form 4 is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners", and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. [continued in footnote 2] F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person. Read SEC document |
| September 23, 2020 Filed Sep 26, 2020 01:46 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherCommon Stock | 1,285,714 | $0.35 | $449,999.90 |
DisclosureSEC source: 0001104659-20-109032 · a4.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · Director · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · Director · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · Director · 10% owner BORUS JUSTIN B · CIK 0001531960 · Director · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Justin Borus Disclosed balance after: 4,285,714 F3 · kind: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · kind: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · shares: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · shares: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · price: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · price: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F3 · balance_after: Reference is made to the Form 4 filed by the Reporting Persons with respect to the Company on March 23, 2020 (the "Prior Form 4"). The Six Month Price (as defined in the Prior Form 4) has been determined, as of September 23, 2020, to be less than $0.35 per share. Accordingly, per the terms of the SPA (as defined in the Prior Form 4), automatically, and for no additional consideration: (1) Mr. Borus is entitled to an additional 1,285,714 shares of Common Stock (such that the blended price for the 3,000,000 shares reported in the Prior Form 4 and the additional 1,285,714 shares reported in this Form 4 is $0.35 per share); [continued in footnote 4] F4 · balance_after: (2) Mr. Borus is entitled to an additional 642,875 warrants to purchase Common Stock at an exercise price of $0.45 per share; and (3) the exercise price of the 1,500,000 warrants reported in the Prior Form 4 has been reset to $0.45 per share (all of the foregoing, the "Automatic Adjustments"). The Reporting Persons believe that the Automatic Adjustments are exempt from the provisions of Section 16(b) of the Exchange Act. F1 · ownership.nature: This Form 4 is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners", and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. [continued in footnote 2] F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 (the "Exchange Act") or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person. Read SEC document |
| September 02, 2020 Filed Sep 3, 2020 18:23 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 42,934 | $0.07 | $2,790.71 |
DisclosureSEC source: 0001553350-20-000835 · ownership.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 110,034 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 24, 2020 Filed Jul 27, 2020 19:19 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 10,000 | $0.08 | $750.00 |
DisclosureSEC source: 0001079973-20-000623 · ownership.xml · nonDerivative · entry 3 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 152,968 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment dviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 21, 2020 Filed Jul 27, 2020 19:19 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 5,500 | $0.08 | $412.50 |
DisclosureSEC source: 0001079973-20-000623 · ownership.xml · nonDerivative · entry 2 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 162,968 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment dviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 09, 2020 Filed Jul 27, 2020 19:19 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 18,276 | $0.07 | $1,187.94 |
DisclosureSEC source: 0001079973-20-000623 · ownership.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 168,468 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment dviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 19, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 2,500 | $0.07 | $162.50 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 6 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 186,744 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 19, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 5,000 | $0.07 | $350.00 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 5 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 189,244 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 46,871 | $0.06 | $2,812.26 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 4 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 194,244 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 23,129 | $0.06 | $1,390.05 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 3 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 241,115 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 184,000 | $0.06 | $11,224.00 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 2 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 264,244 F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 16:40 UTC | Aeon Global Health Corp. AGHC · Entity 144733 | SaleCommon Stock | 9,889 | $0.07 | $692.23 |
DisclosureSEC source: 0001079973-20-000534 · ownership.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Ibex Microcap Fund LLLP Disclosed balance after: 448,244 F4 · balance_after: Includes 5,159 shares of Common Stock issued to Ibex Microcap as dividends on the Series D Convertible Preferred Stock through and including the dividend payment date of December 31, 2018, which acquisition was exempt from the reporting requirements of Section 16 of the Securities Exchange Act of 1934. F1 · ownership.nature: These securities reported herein are owned directly by Ibex Microcap Fund LLLP ("Ibex Microcap"). Ibex Investors LLC ("Ibex") is the investment adviser and general partner of Ibex Microcap and Justin B. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by Ibex Microcap and Macro Micro (referred to collectively as the "Funds") except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 21:12 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | PurchaseWarrant (right to buy) · Derivative | 1,500,000 | Not disclosed Strike: $0.60 | Not disclosed |
DisclosureSEC source: 0001079973-20-000204 · ownership.xml · derivative · entry 4 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Justin Borus Disclosed balance after: 1,500,000 Underlying: Common Stock · 1,500,000 shares Expires 2023-04-15 F3 · derivative.exercise_price: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · derivative.exercise_price: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · derivative.exercise_price: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F3 · kind: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · kind: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · kind: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F3 · shares: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · shares: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · shares: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F3 · price: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · price: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · price: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F6 · derivative.exercise_date: The warrant will be exercisable immediately upon acquisition at the closing of the SPA, which is expected to be on or about April 15, 2020, for a period of three years thereafter. If the SPA does not close precisely on April 15, 2020, this Form 4 will be amended accordingly. F6 · derivative.expiration_date: The warrant will be exercisable immediately upon acquisition at the closing of the SPA, which is expected to be on or about April 15, 2020, for a period of three years thereafter. If the SPA does not close precisely on April 15, 2020, this Form 4 will be amended accordingly. F3 · derivative.underlying_shares: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · derivative.underlying_shares: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · derivative.underlying_shares: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F1 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. (continued in footnote 2) F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person. Read SEC document |
| March 19, 2020 Filed Mar 23, 2020 21:12 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | PurchaseCommon Stock | 3,000,000 | $0.50 | $1,500,000.00 |
DisclosureSEC source: 0001079973-20-000204 · ownership.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By: Justin Borus Disclosed balance after: 3,000,000 F3 · kind: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · kind: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · kind: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F3 · shares: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · shares: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · shares: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F3 · price: On March 19, 2020, Mr. Borus entered into a Securities Purchase Agreement (the "SPA") with the Issuer whereby Mr. Borus agreed to purchase, for an aggregate purchase price of $1,500,000, 3,000,000 shares of Common Stock and warrants to purchase an additional 1,500,000 shares of Common Stock; provided that if the volume-weighted average trading price for the last twenty (20) consecutive trading days that conclude the six (6) month period after the initial closing under the SPA (the "Six Month Price") is less than $0.50 per share (the "Target Price"), the per share purchase price for the Common Stock will be automatically reduced to the Six Month Price, but in no event less than $0.35 per Share, in which case the Issuer shall issue to Mr. Borus, based on Mr. Borus' investment: (continued in footnote 4) F4 · price: (a) shares of Common Stock in a quantity that equals the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price; and (b) a warrant for a number of warrant shares equal to fifty percent (50%) of the difference between the number of shares of Common Stock issued to Mr. Borus at closing and the number of shares of Common Stock that would have been issued to Mr. Borus at closing at the Six Month Price, with an exercise price equal to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. (continued in footnote 5) F5 · price: The exercise price per share for the warrant issued at closing will automatically adjust to the sum of $0.10 per share and the Six Month Price, but in no event less than $0.45 per share. Mr. Borus expects the purchase under the SPA to close on or about April 15, 2020; if such purchase does not close for whatever reason, a Form 4 will be filed to rescind the transactions reported under this Form 4. F1 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. (continued in footnote 2) F2 · ownership.nature: Ibex and each of the Funds expressly disclaims beneficial ownership of the securities held by Mr. Borus. The filing of this Form 4 shall not be construed as an admission that any Reporting Person, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein other than the securities held directly by such Reporting Person. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 22:31 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 833,333 | $500,000.00 Strike: $0.45 | $416,666,500,000.00 |
DisclosureSEC source: 0001567619-18-008539 · doc1.xml · derivative · entry 2 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 833,333 shares Expires 2018-12-20 F2 · price: These Warrants were acquired from the Issuer together with a promissory note in the principal amount of $500,000 for a total transaction price of $500,000. F1 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F3 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F4 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 20, 2018 Filed Dec 21, 2018 22:31 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherCommon Stock | 833,333 | $0.45 | $374,999.85 |
DisclosureSEC source: 0001567619-18-008539 · doc1.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 14,445,766 F3 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F4 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 21:50 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 1,800,000 | $0.00 Strike: $0.53 | $0.00 |
DisclosureSEC source: 0001140361-18-034253 · doc1.xml · derivative · entry 5 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,800,000 Underlying: Common Stock · 1,800,000 shares Expires 2021-07-31 F1 · kind: On July 26, 2018, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2021 and change the exercise price to $0.53 per share. F4 · price: This Warrant is the amended Warrant, resulting from the amendment that is described in Footnote 1. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F5 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F6 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 21:50 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 100,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001140361-18-034253 · doc1.xml · derivative · entry 4 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2018-08-05 F1 · kind: On July 26, 2018, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2021 and change the exercise price to $0.53 per share. F3 · price: These Warrants were originally acquired from the Issuer as part of Units, each consisting of one share of Common Stock, one such Warrant and one other Warrant (each a "Unit"). The price paid for each Unit was $0.25. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F5 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F6 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 21:50 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 1,700,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001140361-18-034253 · doc1.xml · derivative · entry 3 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 1,700,000 shares Expires 2018-07-26 F1 · kind: On July 26, 2018, the terms of an aggregate of 1,800,000 warrants were amended to extend the expiration date to July 31, 2021 and change the exercise price to $0.53 per share. F3 · price: These Warrants were originally acquired from the Issuer as part of Units, each consisting of one share of Common Stock, one such Warrant and one other Warrant (each a "Unit"). The price paid for each Unit was $0.25. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F5 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F6 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 21:50 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 1,100,000 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001140361-18-034253 · doc1.xml · derivative · entry 2 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 1,700,000 Underlying: Common Stock · 1,100,000 shares Expires 2018-07-26 F3 · price: These Warrants were originally acquired from the Issuer as part of Units, each consisting of one share of Common Stock, one such Warrant and one other Warrant (each a "Unit"). The price paid for each Unit was $0.25. F2 · derivative.exercise_date: These Warrants are not exercisable by the holder to the extent (but only to the extent) that the holder together with any of its affiliates would beneficially own in excess of 9.99% (the "Maximum Percentage") of the Issuer's Common Stock after giving effect to such exercise and as a result of such exercise. By written notice to the Issuer, the holder may increase or decrease the Maximum Percentage, as applied to the holder, to any other percentage specified in such notice; provided that any such increase will not be effective until the 61st day after such notice is delivered to the Issuer. F5 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F6 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| July 26, 2018 Filed Jul 30, 2018 21:50 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherCommon Stock | 1,100,000 | $0.50 | $550,000.00 |
DisclosureSEC source: 0001140361-18-034253 · doc1.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 13,612,433 F5 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F6 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein, if any. Each of the Funds expressly disclaims beneficial ownership of the securities held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus (or each Fund with respect to the securities held by the other Fund), for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:19 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherWarrant (right to buy) · Derivative | 579,897 | $0.00 Strike: $0.49 | $0.00 |
DisclosureSEC source: 0001140361-17-047025 · doc1.xml · derivative · entry 3 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 0 Underlying: Common Stock · 579,897 shares Expires 2017-12-20 F2 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:19 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | SaleCommon Stock | 491,782 | $0.57 | $281,250.13 |
DisclosureSEC source: 0001140361-17-047025 · doc1.xml · nonDerivative · entry 2 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 12,512,433 F1 · kind: The reporting person exercised a warrant to purchase 579,897 shares of the Issuer's common stock for $0.485 a share. The reporting person paid the exercise price on a cashless basis, resulting in the Issuer withholding 491,782 of the warrant shares to pay the exercise price and issuing to the reporting person the remaining 88,115 shares. As set forth in this Form 4, the payment of the exercise price for the warrants on a cashless basis, resulting in withholding of shares of common stock, is deemed a sale for Section 16 reporting purposes, however, the reporting person has not otherwise engaged in any sale transaction. F2 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 19, 2017 Filed Dec 21, 2017 22:19 UTC | BARFRESH FOOD GROUP INC. BRFH · Entity 7628 | OtherCommon Stock | 579,897 | $0.49 | $281,250.05 |
DisclosureSEC source: 0001140361-17-047025 · doc1.xml · nonDerivative · entry 1 Ibex Investors LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner Lazarus Macro Micro Partners LLLP · CIK 0001639757 · 10% owner Ibex Microcap Fund LLLP · CIK 0001232118 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 13,004,215 F2 · ownership.nature: This form is filed jointly by Ibex Investors LLC ("Ibex"), Justin B. Borus, Ibex Microcap Fund LLLP ("Ibex Microcap") and Lazarus Macro Micro Partners LLLP ("Macro Micro Partners" and together with Ibex Microcap, the "Funds"). The securities reported herein are owned directly by Ibex Microcap except for 3,000 shares of common stock owned directly by Macro Micro Partners. Ibex is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Ibex. F3 · ownership.nature: Each of Ibex and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Fund. The filing of this Form 4 shall not be construed as an admission that either Ibex or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 27, 2016 Filed Jan 18, 2017 17:14 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 10,000 | $0.07 | $679.00 |
DisclosureSEC source: 0001140361-17-002190 · doc1.xml · nonDerivative · entry 2 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,361,895 F1 · date: Not required to be reported earlier because transactions collectively qualify as a "small acquisition" under Rule 16a-6 promulgated under the Securities Exchange Act of 1934. F2 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,343,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F5 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 22, 2016 Filed Jan 18, 2017 17:14 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 60,000 | $0.07 | $4,164.00 |
DisclosureSEC source: 0001140361-17-002190 · doc1.xml · nonDerivative · entry 1 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,351,895 F1 · date: Not required to be reported earlier because transactions collectively qualify as a "small acquisition" under Rule 16a-6 promulgated under the Securities Exchange Act of 1934. F2 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F3 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.069 to $0.07, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F4 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,343,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F5 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 20, 2016 Filed Dec 21, 2016 17:00 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 75,000 | $0.07 | $5,212.50 |
DisclosureSEC source: 0001140361-16-090499 · doc1.xml · nonDerivative · entry 5 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,291,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.069 to $0.0698, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F6 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,273,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F7 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 17:00 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 100,000 | $0.07 | $6,590.00 |
DisclosureSEC source: 0001140361-16-090499 · doc1.xml · nonDerivative · entry 4 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,216,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0689 to $0.07, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F6 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,273,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F7 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 09, 2016 Filed Dec 21, 2016 17:00 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 10,000 | $0.07 | $698.00 |
DisclosureSEC source: 0001140361-16-090499 · doc1.xml · nonDerivative · entry 3 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,116,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F6 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,273,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F7 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 08, 2016 Filed Dec 21, 2016 17:00 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.06 | $1,497.50 |
DisclosureSEC source: 0001140361-16-090499 · doc1.xml · nonDerivative · entry 2 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,106,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F3 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0598 to $0.06, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F6 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,273,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F7 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 07, 2016 Filed Dec 21, 2016 17:00 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 120,000 | $0.05 | $6,384.00 |
DisclosureSEC source: 0001140361-16-090499 · doc1.xml · nonDerivative · entry 1 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 66,081,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F2 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0499 to $0.06, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F6 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 15,273,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F7 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 06, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 25,000 | $0.06 | $1,475.00 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 9 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,961,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0589 to $0.059, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 05, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 88,600 | $0.06 | $5,316.00 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 8 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,936,895 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| December 02, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.07 | $1,637.50 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 7 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,848,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 16, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 5,000 | $0.07 | $337.50 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 6 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,823,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 15, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 5,000 | $0.07 | $342.50 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 5 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,818,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 14, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 15,000 | $0.07 | $1,035.00 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 4 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,813,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 11, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 5,000 | $0.07 | $345.00 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 3 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,798,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 10, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.07 | $1,707.50 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 2 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,793,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F3 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0688 to $0.0695, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 08, 2016 Filed Dec 7, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.08 | $1,882.50 |
DisclosureSEC source: 0001140361-16-089044 · doc1.xml · nonDerivative · entry 1 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,768,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F2 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.075 to $0.0765, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,943,401 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser of the Funds, the general partner of Lazarus Partners, and Mr. Borus is the manager of Lazarus Management. Lazarus GP LLC ("Lazarus GP") is the general partner of Lazarus Israel I and Lazarus Israel II and Mr. Borus is the manager of Lazarus GP. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 07, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 50,000 | $0.07 | $3,660.00 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 6 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,743,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F6 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.072 to $0.075, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 04, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 50,000 | $0.07 | $3,725.00 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 5 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,693,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F5 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.07 to $0.0777, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| November 01, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 15,000 | $0.08 | $1,140.00 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 4 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,643,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.073 to $0.0775, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| October 31, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.08 | $1,975.00 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 3 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,628,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| October 28, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 25,000 | $0.08 | $1,972.50 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 2 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,603,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F3 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.0789 to $0.079, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| October 27, 2016 Filed Nov 8, 2016 17:08 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | OtherCommon Stock | 50,000 | $0.08 | $3,935.00 |
DisclosureSEC source: 0001140361-16-085419 · doc1.xml · nonDerivative · entry 1 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,578,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F2 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.078 to $0.079, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F7 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,724,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F8 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. Read SEC document |
| October 25, 2016 Filed Oct 26, 2016 17:02 UTC | BLUE SPHERE CORP. BLSP · Entity 167689 | PurchaseCommon Stock | 25,000 | $0.08 | $1,990.00 |
DisclosureSEC source: 0001140361-16-083658 · doc1.xml · nonDerivative · entry 3 Lazarus Management Co LLC · CIK 0001531964 · 10% owner BORUS JUSTIN B · CIK 0001531960 · 10% owner LAZARUS INVESTMENT PARTNERS LLLP · CIK 0001232118 · 10% owner Lazarus Israel Opportunities Fund LLLP · CIK 0001539956 · 10% owner Lazarus Israel Opportunities Fund II LLLP · CIK 0001639750 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnotes Disclosed balance after: 65,528,295 F1 · shares: Shares of common stock were purchased directly by Lazarus Israel Opportunities Fund II LLLP ("Lazarus Israel II"). F4 · price: The Price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $0.079 to $0.08, inclusive. The Reporting Persons undertake to provide the Issuer, any security holder, 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 this footnote. F5 · ownership.nature: This form is filed jointly by Lazarus Management Company LLC ("Lazarus Management"), Justin B. Borus, Lazarus Israel Opportunities Fund LLLP ("Lazarus Israel I"), Lazarus Israel II and Lazarus Investment Partners LLLP ("Lazarus Partners" and together with Lazarus Israel I and Lazarus Israel II, the "Funds"). The securities reported herein are owned directly by the Funds as follows: (i) Lazarus Israel I owns 42,218,018 shares of common stock and 12,500,000 warrants; (ii) Lazarus Israel II owns 14,509,801 shares of common stock and 2,727,273 warrants; and (iii) Lazarus Partners owns 8,800,476 shares of common stock and 2,272,728 warrants. Lazarus Management is the investment adviser and general partner of the Funds and Mr. Borus is the manager of Lazarus Management. F6 · ownership.nature: Each of Lazarus Management and Mr. Borus expressly disclaims beneficial ownership of the securities held by the Funds except to the extent of his or its pecuniary interest therein. Each of the Funds expressly disclaims beneficial ownership of the shares held by the other Funds. The filing of this Form 4 shall not be construed as an admission that either Lazarus Management or Mr. Borus, for purposes of Section 16 of the Securities Exchange Act of 1934 or otherwise, is the beneficial owner of any of the securities reported herein. 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.