Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
GridAI Technologies Corp.
Report date January 02, 2020 · Filed January 29, 2020
Section 16 reporting ended · disclosed 2020-01-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| 10% Convertible Note Due 2019SEC Table II · derivative / convertible security · Conversion / exercise price $2.50 | Indirectowned by ADEC Private Equity Investments, LLC | 0 |
Reported balance
After 2020-01-02 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2020-01-02 · Other · Disposed Not disclosed · Balance 0 F1: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F3: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. |
| 10% Convertible Note Due 2020SEC Table II · derivative / convertible security · Conversion / exercise price $2.50 | Indirectowned by ADEC Private Equity Investments, LLC | 0 |
Reported balance
After 2020-01-02 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2020-01-02 · Other · Disposed Not disclosed · Balance 0 F1: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F4: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. |
Filing footnotes · ownership attribution and instrument terms
F1: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled.
F2: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest.
F3: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019.
F4: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020.
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 02, 2020 Filed Jan 29, 2020 19:01 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | Other10% Convertible Note Due 2020 · Derivative | Not disclosed | $1,000,000.00 Strike: $2.50 | $1,000,000.00 |
DisclosureSEC source: 0001415889-20-000180 · form4-01292020_110109.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · kind: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2 · reported_value: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F4 · derivative.exercise_date: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F4 · derivative.expiration_date: The convertible note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. Read SEC document |
| January 02, 2020 Filed Jan 29, 2020 19:01 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | Other10% Convertible Note Due 2019 · Derivative | Not disclosed | $1,000,000.00 Strike: $2.50 | $1,000,000.00 |
DisclosureSEC source: 0001415889-20-000180 · form4-01292020_110109.xml · derivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · kind: As of January 2, 2020, the Convertible Notes have been fully repaid pursuant to their terms and as a result of such repayment, have been cancelled. F2 · reported_value: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F3 · derivative.exercise_date: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F3 · derivative.expiration_date: The Convertible Note was exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCEDA Warrants Expiring 2020 · Derivative | 21,429 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 10 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by CEDA Investments, LLC Disclosed balance after: 21,429 Underlying: Common Stock · 21,429 shares Expires 2022-06-05 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherCEDA Warrants Expiring 2020 · Derivative | 21,429 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 9 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by CEDA Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 21,429 shares Expires 2022-06-05 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseEBR Warrants Expiring 2020 · Derivative | 100,000 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 8 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by EBR Ventures, LLC Disclosed balance after: 75,000 Underlying: Common Stock · 75,000 shares Expires 2022-06-05 F10 · shares: Represents 100,000 warrants to purchase 75,000 shares of common stock (3/4 of a share per warrant). F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherEBR Warrants Expiring 2020 · Derivative | 100,000 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 7 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by EBR Ventures, LLC Disclosed balance after: 0 Underlying: Common Stock · 75,000 shares Expires 2022-06-05 F10 · shares: Represents 100,000 warrants to purchase 75,000 shares of common stock (3/4 of a share per warrant). F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseADEC Warrants Expiring 2021 · Derivative | 371,143 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 6 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 371,143 Underlying: Common Stock · 371,143 shares Expires 2021-10-14 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherADEC Warrants Expiring 2021 · Derivative | 371,143 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 5 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 371,143 shares Expires 2021-10-14 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseADEC Warrants Expiring 2020 · Derivative | 273,598 | Not disclosed Strike: $1.50 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 4 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 273,598 Underlying: Common Stock · 273,598 shares Expires 2021-05-04 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherADEC Warrants Expiring 2020 · Derivative | 273,598 | Not disclosed Strike: $5.58 | Not disclosed |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 3 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 0 Underlying: Common Stock · 273,598 shares Expires 2021-05-04 F8 · price: Amendment to warrants to reduce the exercise price to $1.50, from $5.58, in the case of the ADEC Warrants Expiring 2020, and $5.50 in the case of all other warrants listed. F7 · derivative.exercise_date: Exercisable at any time subject to the terms contained therein. F3 · derivative.underlying: Common Stock of the Issuer. F1 · ownership.direct: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F9 · ownership.direct: All of the ADEC Warrants Expiring 2020 and ADEC Warrants Expiring 2021 are directly owned by ADEC Private Equity Investments, LLC. All of the EBR Warrants Expiring 2020 are directly owned by EBR Ventures, LLC. All of the CEDA Warrants Expiring 2020 are directly owned by CEDA Investments, LLC. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | Purchase10% Convertible Note Due 2020 · Derivative | 1,000,000 | $1,000,000.00 Strike: $2.50 | $1,000,000,000,000.00 |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 1,000,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F6 · derivative.exercise_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F6 · derivative.expiration_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by the Issuer or AzurRx BioPharma SAS of the French research and development tax credits for the 2019 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2019 or (ii) December 31, 2020. F3 · derivative.underlying: Common Stock of the Issuer. F4 · derivative.underlying_shares: Represents the number of shares of common stock issuable upon conversion of the principal amount of the convertible note at the initial conversion price of the convertible note. F1 · balance_after: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.direct: ADEC Private Equity Investments, LLC purchased all of securities acquired on February 14, 2019. Read SEC document |
| February 14, 2019 Filed Feb 20, 2019 02:45 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | Purchase10% Convertible Note Due 2019 · Derivative | 1,000,000 | $1,000,000.00 Strike: $2.50 | $1,000,000,000,000.00 |
DisclosureSEC source: 0001415889-19-000183 · form4-02192019_090201.xml · derivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · owned by ADEC Private Equity Investments, LLC Disclosed balance after: 1,000,000 Underlying: Common Stock · 400,000 shares Expires not disclosed F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · derivative.exercise_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F2 · derivative.expiration_date: Exercisable at any time prior to the earlier to occur of (i) ten Business Days following the receipt by AzurRx BioPharma, Inc. (the "Issuer") or AzurRx BioPharma SAS of the French research and development tax credits for the 2018 tax year, which the Company or ABS is expected to receive within nine months following December 31, 2018 or (ii) December 23, 2019. F3 · derivative.underlying: Common Stock of the Issuer. F4 · derivative.underlying_shares: Represents the number of shares of common stock issuable upon conversion of the principal amount of the convertible note at the initial conversion price of the convertible note. F1 · balance_after: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.direct: ADEC Private Equity Investments, LLC purchased all of securities acquired on February 14, 2019. Read SEC document |
| December 31, 2018 Filed Jan 7, 2019 23:49 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 23,848 | $1.12 | $26,709.76 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 5 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,540,555 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F5 · ownership.nature: Of the aggregate number of shares purchased on December 31, 2018, EBR Ventures, LLC purchased all 23,848 shares. Read SEC document |
| December 28, 2018 Filed Jan 7, 2019 23:49 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 29,575 | $1.18 | $34,898.50 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 4 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,516,707 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F4 · ownership.nature: Of the aggregate number of shares purchased on December 28, 2018, EBR Ventures, LLC purchased all 29,575 shares. Read SEC document |
| December 27, 2018 Filed Jan 7, 2019 23:49 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 23,200 | $1.13 | $26,216.00 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 3 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,487,132 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F3 · ownership.nature: Of the aggregate number of shares purchased on December 27, 2018, EBR Ventures, LLC purchased all 66,122 shares. Read SEC document |
| December 27, 2018 Filed Jan 7, 2019 23:49 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 42,922 | $1.18 | $50,647.96 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,463,932 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F3 · ownership.nature: Of the aggregate number of shares purchased on December 27, 2018, EBR Ventures, LLC purchased all 66,122 shares. Read SEC document |
| May 02, 2018 Filed Jan 7, 2019 23:49 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 20,000 | $2.50 | $50,000.00 |
DisclosureSEC source: 0001415889-19-000021 · form4-01072019_030157.xml · nonDerivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 2,421,010 F1 · shares: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F1 · price: Mr. Ross is the manager and holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Mr. Ross disclaims beneficial ownership of the securities described in this footnote except to the extent of his pecuniary interest. F2 · ownership.nature: Of the aggregate number of shares purchased on May 2, 2018, CEDA Investments, LLC purchased all 20,000 shares. Read SEC document |
| June 05, 2017 Filed Jun 9, 2017 20:44 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseSeries A-1 Warrants · Derivative | 128,572 | Not disclosed Strike: $5.50 | Not disclosed |
DisclosureSEC source: 0001415889-17-000958 · form4-06092017_010601.xml · derivative · entry 3 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 96,429 Underlying: Common Stock · 96,429 shares Expires 2022-06-05 F4 · kind: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended. F4 · derivative.underlying_shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · balance_after: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 9, 2017 20:44 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseSeries A Warrants · Derivative | 128,572 | Not disclosed Strike: $4.00 | Not disclosed |
DisclosureSEC source: 0001415889-17-000958 · form4-06092017_010601.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,143 Underlying: Common Stock · 32,143 shares Expires 2017-12-31 F4 · kind: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended. F4 · derivative.underlying_shares: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. F4 · balance_after: Of the Series A Warrants, warrants to purchase 25,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 7,143 shares of common stock were purchased by CEDA Investments, LLC. Of the Series A-1 Warrants, warrants to purchase 75,000 shares of common stock were purchased by EBR Ventures, LLC, and warrants to purchase 21,429 shares of common stock were purchased by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of such securities underlying the warrants, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| June 05, 2017 Filed Jun 9, 2017 20:44 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | PurchaseCommon Stock | 128,572 | $3.50 | $450,002.00 |
DisclosureSEC source: 0001415889-17-000958 · form4-06092017_010601.xml · nonDerivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,659,840 F1 · kind: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended. F2 · shares: Of the 128,572 shares of common stock, 100,000 were purchased by EBR Ventures, LLC and 28,572 were purchased by CEDA Investments, LLC. F1 · price: Entities associated with Mr. Ross purchased Units for a price of $3.50 per Unit. Each Unit consisted of one share of common stock, one Series A Warrant to purchase 1/4 share of common Stock, and one Series A-1 Warrant to purchase 3/4 share of common stock from AzurRx BioPharma, Inc. in a private placement exempt from registration under the Securities Act of 1933, as amended. F3 · ownership.nature: Of the 1,659,840 shares of common stock beneficially owned, 1,031,268 are held by ADEC Private Equity Investment, LLC, 600,000 are held by EBR Ventures, LLC, and 28,572 are held by CEDA Investments, LLC. Mr. Ross holds sole voting and dispositive power over the shares of Common stock and each of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, and CEDA Investments, LLC disclaims beneficial ownership of the applicable shares of common stock, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that any of ADEC Private Equity Investment, LLC, EBR Ventures, LLC, or CEDA Investments, LLC is the beneficial owner of such shares of common stock for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| October 14, 2016 Filed Oct 18, 2016 20:43 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | ConversionOriginal Issuance Discount Convertible Notes · Derivative | Not disclosed | $0.00 Strike: $4.65 | $4,795,396.20 |
DisclosureSEC source: 0001415889-16-007294 · form4-10182016_011057.xml · derivative · entry 3 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By ADEC Private Equity Investment, LLC Disclosed balance after: 0 Underlying: Common Stock · 1,031,268 shares Expires 2016-11-04 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The Original Issuance Discount Convertible Notes were automatically converted to shares of common stock upon the closing of the Issuer's initial public offering. F4 · derivative.expiration_date: The Original Issuance Discount Convertible Notes were automatically converted to shares of common stock upon the closing of the Issuer's initial public offering. F3 · ownership.nature: The securities are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the securities and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed to be an admission that ADEC Private Equity Investment, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| October 14, 2016 Filed Oct 18, 2016 20:43 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | OtherWarrants · Derivative | 371,142 | $0.00 Strike: $5.50 | $0.00 |
DisclosureSEC source: 0001415889-16-007294 · form4-10182016_011057.xml · derivative · entry 2 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By ADEC Private Equity Investment, LLC Disclosed balance after: 371,142 Underlying: Common Stock · 371,142 shares Expires 2021-10-13 F2 · kind: The Warrants were acquired concurrently with the closing of the Issuer's Initial Public Offering in connection with an amendment to a certain securities purchase agreement to which ADEC Private Equity Investment, LLC was a party. F2 · price: The Warrants were acquired concurrently with the closing of the Issuer's Initial Public Offering in connection with an amendment to a certain securities purchase agreement to which ADEC Private Equity Investment, LLC was a party. F3 · ownership.nature: The securities are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the securities and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the securities, except to the extent of its pecuniary interest therein, if any, and this report shall not be deemed to be an admission that ADEC Private Equity Investment, LLC is the beneficial owner of such securities for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. Read SEC document |
| October 14, 2016 Filed Oct 18, 2016 20:43 UTC | GridAI Technologies Corp. AZRX · Entity 7534 | ConversionCommon Stock | 1,031,268 | $4.65 | $4,795,396.20 |
DisclosureSEC source: 0001415889-16-007294 · form4-10182016_011057.xml · nonDerivative · entry 1 Ross Edmund Burke Jr. · CIK 0001682557 · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · See Footnote Disclosed balance after: 1,531,268 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: Of the 1,531,268 shares of common stock beneficially owned, 500,000 are held by EBR Ventures, LLC and 1,031,268 shares are held by ADEC Private Equity Investment, LLC. Mr. Ross holds sole voting and dispositive power over the shares of common stock and each of EBR Ventures, LLC and ADEC Private Equity Investment, LLC disclaims beneficial ownership of the applicable shares of common stock, except to the extent of their respective pecuniary interest therein, if any, and this report shall not be deemed to be an admission that either EBR Ventures, LLC or ADEC Private Equity Investment, LLC is the beneficial owner of such shares of common stock for the purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. 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.