Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Charlie's Holdings, Inc.TRUU · Entity 7095 | Director | December 31, 2018 | February 13, 2019 |
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 December 31, 2018 · Filed February 13, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 5,000,000 |
Reported balance
After 2018-07-05 transaction · row 1
1 source rowRow 1 · 2018-07-05 · Grant · Acquired 5,000,000 · Balance 5,000,000 F1: The shares reported herein were issued to the Reporting Person in lieu of cash as compensation for services rendered by the Reporting Person to the Issuer from April 2017 to September 2017 in his capacity as Chief Executive Officer. |
| Common StockSEC Table I · non-derivative | IndirectBy Pilgrim Holdings, LLC | 333,334 |
Reported balance
Holding disclosure · report date 2018-12-31 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 333,334 F2: Shares were issued to Pilgrim Holdings, LLC ("Pilgrim") on February 8, 2017 in exchange for the cancellation of certain warrants held by Pilgrim. F3: The Reporting Person is the Manager of Pilgrim, and has sole power to vote and dispose of the securities held by Pilgrim. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares reported herein were issued to the Reporting Person in lieu of cash as compensation for services rendered by the Reporting Person to the Issuer from April 2017 to September 2017 in his capacity as Chief Executive Officer.
F2: Shares were issued to Pilgrim Holdings, LLC ("Pilgrim") on February 8, 2017 in exchange for the cancellation of certain warrants held by Pilgrim.
F3: The Reporting Person is the Manager of Pilgrim, and has sole power to vote and dispose of the securities held by Pilgrim.
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 05, 2018 Filed Jul 7, 2018 01:50 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantStock Option · Derivative | 12,644,921 | $0.00 Strike: $0.02 | $0.00 |
DisclosureSEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 3 Greco James J · CIK 0001697306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,644,921 Underlying: Common Stock · 12,644,921 shares Expires 2028-01-30 Read SEC document |
| July 05, 2018 Filed Jul 7, 2018 01:50 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantStock Option · Derivative | 1,575,079 | Not disclosed Strike: $0.03 | Not disclosed |
DisclosureSEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 2 Greco James J · CIK 0001697306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,575,079 Underlying: Common Stock · 1,575,079 shares Expires 2023-01-30 F1 · kind: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. F1 · price: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. F1 · derivative.expiration_date: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. Read SEC document |
| July 05, 2018 Filed Jul 7, 2018 01:50 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | Disposition to issuerStock Option · Derivative | 15,750,789 | Not disclosed Strike: $0.07 | Not disclosed |
DisclosureSEC source: 0001415889-18-001089 · form4-07062018_060734.xml · derivative · entry 1 Greco James J · CIK 0001697306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 15,750,789 shares Expires 2022-04-13 F1 · kind: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. F1 · price: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. F1 · derivative.expiration_date: The reported transaction involved (i) the forfeiture of 14,175,710 outstanding options, and (ii) the modification of 1,575,079 outstanding options, resulting in the deemed cancellation of the "old" options and the grant of replacement options with a reduced exercise price of $0.025 per share and extended expiration date, which modifications were approved in advance by the Issuer's Board of Directors on January 30, 2018. The cancellation and subsequent grant were both exempt from Section 16(b) pursuant to Rule 16b-3(e) and Rule 16b-3(d), respectively. Read SEC document |
| July 05, 2018 Filed Feb 13, 2019 23:01 UTC | Charlie's Holdings, Inc. TRUU · Entity 7095 | GrantCommon Stock | 5,000,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-19-000160 · form5-02132019_030248.xml · nonDerivative · entry 1 Greco James J · CIK 0001697306 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000,000 F1 · price: The shares reported herein were issued to the Reporting Person in lieu of cash as compensation for services rendered by the Reporting Person to the Issuer from April 2017 to September 2017 in his capacity as Chief Executive Officer. 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.