Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Charlie's Holdings, Inc.CHUC · Entity 7095 | CHIEF EXECUTIVE OFFICER | March 19, 2021 | March 23, 2021 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Charlie's Holdings, Inc.
Report date March 19, 2021 · Filed March 23, 2021
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 93,792,177 |
Reported balance
After 2021-02-15 transaction · row 1
1 source rowRow 1 · 2021-02-15 · Gift · Disposed 9,285,426,712 · Balance 93,792,177 F1: On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust. |
| Common StockSEC Table I · non-derivative | IndirectBy the Brandon Stump Legacy Trust | 9,285,426,712 |
Reported balance
After 2021-02-15 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2021-02-15 · Gift · Acquired 9,285,426,712 · Balance 9,285,426,712 F1: On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust. |
| Common StockSEC Table I · non-derivative | IndirectBy the Brandon Stump Legacy Trust | 6,135,426,699 |
Reported balance
After 2021-03-19 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2021-03-19 · Sale · Disposed 3,150,000,013 · Balance 6,135,426,699 F2: The shares were sold in a private transaction consummated on March 19, 2021 at a price of $0.000833 per share. |
| Common StockSEC Table I · non-derivative | IndirectBy the Brandon Stump Legacy Trust | 6,381,616,617 |
Reported balance
After 2021-03-22 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2021-03-22 · Grant · Acquired 246,189,918 · Balance 6,381,616,617 F3: The shares of common stock were purchased from the Issuer in a transaction approved by the Issuer's Board of Directors in accordance with Rule 16b-3(d)(1) of the Exchange Act (the "Act"), which purchase is exempt from Section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. |
Filing footnotes · ownership attribution and instrument terms
F1: On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust.
F2: The shares were sold in a private transaction consummated on March 19, 2021 at a price of $0.000833 per share.
F3: The shares of common stock were purchased from the Issuer in a transaction approved by the Issuer's Board of Directors in accordance with Rule 16b-3(d)(1) of the Exchange Act (the "Act"), which purchase is exempt from Section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.
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 |
|---|---|---|---|---|---|---|
| March 22, 2021 Filed Mar 23, 2021 12:06 UTC | Charlie's Holdings, Inc. CHUC · Entity 7095 | GrantCommon Stock | 246,189,918 | $0.01 | $2,092,614.30 |
DisclosureSEC source: 0001415889-21-001613 · form4-03232021_050324.xml · nonDerivative · entry 4 Stump Brandon · CIK 0001775562 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · By the Brandon Stump Legacy Trust Disclosed balance after: 6,381,616,617 F3 · shares: The shares of common stock were purchased from the Issuer in a transaction approved by the Issuer's Board of Directors in accordance with Rule 16b-3(d)(1) of the Exchange Act (the "Act"), which purchase is exempt from Section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| March 19, 2021 Filed Mar 23, 2021 12:06 UTC | Charlie's Holdings, Inc. CHUC · Entity 7095 | SaleCommon Stock | 3,150,000,013 | $0.00 | $2,520,000.01 |
DisclosureSEC source: 0001415889-21-001613 · form4-03232021_050324.xml · nonDerivative · entry 3 Stump Brandon · CIK 0001775562 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · By the Brandon Stump Legacy Trust Disclosed balance after: 6,135,426,699 F2 · shares: The shares were sold in a private transaction consummated on March 19, 2021 at a price of $0.000833 per share. F2 · price: The shares were sold in a private transaction consummated on March 19, 2021 at a price of $0.000833 per share. Read SEC document |
| February 15, 2021 Filed Mar 23, 2021 12:06 UTC | Charlie's Holdings, Inc. CHUC · Entity 7095 | GiftCommon Stock | 9,285,426,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001613 · form4-03232021_050324.xml · nonDerivative · entry 2 Stump Brandon · CIK 0001775562 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Indirect · By the Brandon Stump Legacy Trust Disclosed balance after: 9,285,426,712 F1 · shares: On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust. Read SEC document |
| February 15, 2021 Filed Mar 23, 2021 12:06 UTC | Charlie's Holdings, Inc. CHUC · Entity 7095 | GiftCommon Stock | 9,285,426,712 | $0.00 | $0.00 |
DisclosureSEC source: 0001415889-21-001613 · form4-03232021_050324.xml · nonDerivative · entry 1 Stump Brandon · CIK 0001775562 · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,792,177 F1 · shares: On February 15, 2021, the Reporting Person transferred 9,285,426,712 shares of common stock to the Brandon Stump Legacy Trust, of which the reporting person is trustee. The Reporting Person and immediate family members are the sole beneficiaries of the trust. Read SEC document |
| April 26, 2019 Filed May 17, 2019 18:21 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantSeries B Convertible Preferred Stock · Derivative | 928,543 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000533 · form4-05172019_110508.xml · derivative · entry 2 Stump Brandon · CIK 0001775562 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 928,543 Underlying: Common Stock · 9,285,426,700 shares Expires not disclosed F2 · derivative.exercise_price: Shares of Series B Preferred are structured to act as a Common Stock equivalent. Upon the Registrant amending its Amended and Restated Articles of Incorporation, as amended, to effect an increase in the number of shares of common stock authorized for issuance thereunder by a sufficient amount to allow for the conversion and/or exercise of all derivative securities issued by the Registrant to individuals in connection with the Exchange (the "Charter Amendment"), each share of Series B Preferred shall automatically be converted into 10,000 shares of the Registrant's common stock, subject to certain adjustments. Shares of Series B Preferred may not be converted prior to the Charter Amendment. F1 · price: Securities received by the Reporting Person in exchange for membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series B Convertible Preferred Stock ("Series B Preferred") (the "Exchange"). F2 · derivative.exercise_date: Shares of Series B Preferred are structured to act as a Common Stock equivalent. Upon the Registrant amending its Amended and Restated Articles of Incorporation, as amended, to effect an increase in the number of shares of common stock authorized for issuance thereunder by a sufficient amount to allow for the conversion and/or exercise of all derivative securities issued by the Registrant to individuals in connection with the Exchange (the "Charter Amendment"), each share of Series B Preferred shall automatically be converted into 10,000 shares of the Registrant's common stock, subject to certain adjustments. Shares of Series B Preferred may not be converted prior to the Charter Amendment. F3 · derivative.expiration_date: Shares of Series B Preferred have no expiration date. Read SEC document |
| April 26, 2019 Filed May 17, 2019 18:21 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 93,792,189 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000533 · form4-05172019_110508.xml · nonDerivative · entry 1 Stump Brandon · CIK 0001775562 · Director · CHIEF EXECUTIVE OFFICER 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 93,792,189 F1 · date: Securities received by the Reporting Person in exchange for membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series B Convertible Preferred Stock ("Series B Preferred") (the "Exchange"). F1 · price: Securities received by the Reporting Person in exchange for membership units of Charlie's Chalk Dust, LLC ("CCD") owned by the Reporting Person in connection with exchange of all outstanding membership units of CCD for securities of the Registrant, consisting of shares of the Registrant's common stock and Series B Convertible Preferred Stock ("Series B Preferred") (the "Exchange"). 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.