Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| SANUWAVE Health, Inc.SNWW · Entity 7321 | Director · Chief Executive Officer | January 30, 2020 | February 25, 2020 |
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.
SANUWAVE Health, Inc.
Report date January 30, 2020 · Filed February 25, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $0.20 · Expires 2022-12-31 | Direct | 5,200,000 |
Reported balance
After 2020-01-30 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-30 · Grant · Acquired 5,200,000 · Balance 5,200,000 F1: The Company does not have sufficient authorized shares available for the issuance of shares of Common Stock upon the exercise of the Option, but the Company plans to seek shareholder approval of an increase in its authorized shares of Common Stock at this year's annual meeting of stockholders. F2: Subject to the recipient's continued service and, all of the shares subject to the Option shall vest and become exercisable on the date on which the ten day average trading price for a share of the Company's Common Stock equals or exceeds $0.60 on or before December 31, 2022. If the forgoing condition has not been achieved on or before December 31, 2022, the Option shall be forfeited and cancelled as of December 31, 2022. |
Filing footnotes · ownership attribution and instrument terms
F1: The Company does not have sufficient authorized shares available for the issuance of shares of Common Stock upon the exercise of the Option, but the Company plans to seek shareholder approval of an increase in its authorized shares of Common Stock at this year's annual meeting of stockholders.
F2: Subject to the recipient's continued service and, all of the shares subject to the Option shall vest and become exercisable on the date on which the ten day average trading price for a share of the Company's Common Stock equals or exceeds $0.60 on or before December 31, 2022. If the forgoing condition has not been achieved on or before December 31, 2022, the Option shall be forfeited and cancelled as of December 31, 2022.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| January 30, 2020 Filed Feb 25, 2020 16:01 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | GrantStock Options · Derivative | 5,200,000 | $0.00 Strike: $0.20 | $0.00 |
DisclosureSEC source: 0001654954-20-001900 · section16.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,200,000 Underlying: Common Stock, $0.01 par value · 5,200,000 shares Expires 2022-12-31 F1 · shares: The Company does not have sufficient authorized shares available for the issuance of shares of Common Stock upon the exercise of the Option, but the Company plans to seek shareholder approval of an increase in its authorized shares of Common Stock at this year's annual meeting of stockholders. F2 · derivative.exercise_date: Subject to the recipient's continued service and, all of the shares subject to the Option shall vest and become exercisable on the date on which the ten day average trading price for a share of the Company's Common Stock equals or exceeds $0.60 on or before December 31, 2022. If the forgoing condition has not been achieved on or before December 31, 2022, the Option shall be forfeited and cancelled as of December 31, 2022. Read SEC document |
| August 28, 2019 Filed Aug 28, 2019 18:50 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | PurchaseCommon Stock | 5,569,910 | $0.11 | $612,690.10 |
DisclosureSEC source: 0001654954-19-010089 · section16.xml · nonDerivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,153,226 Read SEC document |
| August 26, 2019 Filed Aug 28, 2019 18:50 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | GrantStock Option · Derivative | 50,000 | $0.00 Strike: $0.15 | $0.00 |
DisclosureSEC source: 0001654954-19-010089 · section16.xml · derivative · entry 2 Richardson Kevin A II · CIK 0001295313 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock, $0.001 par value · 50,000 shares Expires 2029-08-26 Read SEC document |
| April 24, 2019 Filed Apr 25, 2019 11:29 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | PurchaseCommon Stock | 68,750 | $0.03 | $2,296.25 |
DisclosureSEC source: 0001654954-19-004752 · section16.xml · nonDerivative · entry 2 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote #2 Disclosed balance after: 226,250 F2 · ownership.nature: These securities are owned directly by the Zachary G. Richardson UTMA. Mr. Kevin Richardson is a joint holder and the trustee for the plan. Read SEC document |
| April 24, 2019 Filed Apr 25, 2019 11:29 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | PurchaseCommon Stock | 68,750 | $0.03 | $2,296.25 |
DisclosureSEC source: 0001654954-19-004752 · section16.xml · nonDerivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote #1 Disclosed balance after: 226,250 F1 · ownership.nature: These securities are owned directly by the Eleanor G. Richardson UTMA. Mr. Kevin Richardson is a joint holder and the trustee for the plan. Read SEC document |
| September 20, 2018 Filed Sep 28, 2018 17:58 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | GrantStock Option · Derivative | 1,100,000 | $0.00 Strike: $0.21 | $0.00 |
DisclosureSEC source: 0001654954-18-010622 · section16.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,100,000 Underlying: Common Stock, $0.001 par value · 1,100,000 shares Expires 2028-09-20 F1 · derivative.exercise_date: This warrant is exercisable at date of issuance, September 20, 2018. Read SEC document |
| January 10, 2018 Filed Jan 19, 2018 15:32 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | GrantClass N Warrants · Derivative | 2,363,636 | $0.00 Strike: $0.11 | $0.00 |
DisclosureSEC source: 0001654954-18-000551 · section16.xml · derivative · entry 2 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,363,636 Underlying: Common Stock, $0.001 par value · 2,363,636 shares Expires 2019-03-17 F2 · derivative.exercise_date: This warrant is exercisable at date of issuance, January 10, 2018. Read SEC document |
| December 11, 2017 Filed Jan 19, 2018 15:32 UTC | SANUWAVE Health, Inc. SNWW · Entity 7321 | GrantClass O Warrants · Derivative | 640,000 | $0.00 Strike: $0.11 | $0.00 |
DisclosureSEC source: 0001654954-18-000551 · section16.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 640,000 Underlying: Common Stock, $0.001 par value · 640,000 shares Expires 2019-03-17 F1 · derivative.exercise_date: This warrant is exercisable at date of issuance, December 11, 2017. Read SEC document |
| June 15, 2017 Filed Jun 29, 2017 13:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 900,000 | $0.00 Strike: $0.11 | $0.00 |
DisclosureSEC source: 0001437749-17-011966 · rdgdoc.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 900,000 Underlying: Common Stock, $0.001 par value · 900,000 shares Expires 2027-06-15 F1 · derivative.exercise_date: This option for 900,000 shares fully vested on June 15, 2017. Read SEC document |
| November 09, 2016 Filed Dec 16, 2016 21:30 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 594,300 | $0.00 Strike: $0.18 | $0.00 |
DisclosureSEC source: 0001437749-16-043474 · rdgdoc.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 594,300 Underlying: Common Stock, $0.001 par value · 594,300 shares Expires 2026-11-08 F1 · derivative.exercise_date: This option for 594,300 shares fully vested on November 9, 2016. Read SEC document |
| June 16, 2016 Filed Sep 30, 2016 18:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 700,000 | $0.00 Strike: $0.04 | $0.00 |
DisclosureSEC source: 0001437749-16-039323 · rdgdoc.xml · derivative · entry 5 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 700,000 Underlying: Common Stock, $0.001 par value · 700,000 shares Expires 2026-06-15 F4 · derivative.exercise_date: This option for 700,000 shares fully vested on June 16, 2016. Read SEC document |
| March 31, 2016 Filed Sep 30, 2016 18:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 297,619 | $0.00 Strike: $0.06 | $0.00 |
DisclosureSEC source: 0001437749-16-039323 · rdgdoc.xml · derivative · entry 4 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,619 Underlying: Common Stock, $0.001 par value · 297,619 shares Expires 2025-10-01 F3 · derivative.exercise_date: This option for 297,619shares had an adjustment to the exercise price from $0.50 to $0.06 per section 4 of the stock option agreement and SEC Registration File No. 333-208676. Read SEC document |
| March 31, 2016 Filed Sep 30, 2016 18:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | Disposition to issuerOptions · Derivative | 297,619 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001437749-16-039323 · rdgdoc.xml · derivative · entry 3 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock, $0.001 par value · 297,619 shares Expires 2025-10-01 F3 · derivative.exercise_date: This option for 297,619shares had an adjustment to the exercise price from $0.50 to $0.06 per section 4 of the stock option agreement and SEC Registration File No. 333-208676. Read SEC document |
| October 01, 2015 Filed Sep 30, 2016 18:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 297,619 | $0.00 Strike: $0.50 | $0.00 |
DisclosureSEC source: 0001437749-16-039323 · rdgdoc.xml · derivative · entry 2 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 297,619 Underlying: Common Stock, $0.001 par value · 297,619 shares Expires 2025-10-01 F2 · derivative.exercise_date: This option for 297,619 shares fully vested on October 1, 2015. Read SEC document |
| October 01, 2015 Filed Sep 30, 2016 18:00 UTC | SANUWAVE Health, Inc. SNWV · Entity 7321 | GrantOptions · Derivative | 452,381 | $0.00 Strike: $0.11 | $0.00 |
DisclosureSEC source: 0001437749-16-039323 · rdgdoc.xml · derivative · entry 1 Richardson Kevin A II · CIK 0001295313 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 452,381 Underlying: Common Stock, $0.001 par value · 452,381 shares Expires 2025-10-01 F1 · derivative.exercise_date: This option for 452,381 shares fully vested on October 1, 2015. 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.