Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Beeline Holdings, Inc.EAST · Entity 7378 | Director · Chairman, CEO and President · 10% owner | November 21, 2018 | November 26, 2018 |
| S&W Seed CoSANW · Entity 81242 | Director | January 10, 2019 | January 14, 2019 |
| SenesTech, Inc.SNES · Entity 8221 | Director | May 19, 2018 | December 31, 2018 |
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.
Beeline Holdings, Inc.
Report date November 21, 2018 · Filed November 26, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 157,037 |
Ending reported balance
After 2018-11-23 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-11-21 · Purchase · Acquired 8,000 · Balance 155,037 F1: This transaction was executed in multiple trades at prices ranging from $6.26 to $6.399. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff (the "SEC staff"), the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. Row 2 · 2018-11-23 · Purchase · Acquired 2,000 · Balance 157,037 F2: This transaction was executed in multiple trades at prices ranging from $6.24 to $6.47. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. |
| Common StockSEC Table I · non-derivative | IndirectBy Charitable Remainder Trust | 60,370 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 60,370 F3: The reporting person is a joint trustee of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Irrevocable Trust | 45,856 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 45,856 F4: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"). The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
| Common StockSEC Table I · non-derivative | IndirectBy Employee Profit Sharing Plan | 238,727 |
Reported balance
Holding disclosure · report date 2018-11-21 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 238,727 F5: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: This transaction was executed in multiple trades at prices ranging from $6.26 to $6.399. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff (the "SEC staff"), the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4.
F2: This transaction was executed in multiple trades at prices ranging from $6.24 to $6.47. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4.
F3: The reporting person is a joint trustee of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F4: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"). The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
F5: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes.
S&W Seed Co
Report date January 10, 2019 · Filed January 14, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 223,278 |
Reported balance
After 2019-01-10 transaction · row 1
1 source rowRow 1 · 2019-01-10 · Exercise / conversion · Acquired 6,801 · Balance 223,278 F1: Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Expires 2019-01-10 | Direct | 0 |
Reported balance
After 2019-01-10 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2019-01-10 · Exercise / conversion · Disposed 6,801 · Balance 0 F3: Each RSU represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the January 10, 2019 vesting date was $2.00. F4: The RSUs vested in full on January 10, 2019. |
| Common StockSEC Table I · non-derivative | IndirectBy corporation | 23,723 |
Reported balance
Holding disclosure · report date 2019-01-10 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 23,723 F2: Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock.
F2: Owned directly by RWL Management. The reporting person is the majority owner, an officer and one of two directors of the corporation. He disclaims beneficial ownership except to the extent of his pecuniary interest in the corporation. The inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of the reported shares for purposes of Section 16 or for any other purposes.
F3: Each RSU represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the January 10, 2019 vesting date was $2.00.
F4: The RSUs vested in full on January 10, 2019.
SenesTech, Inc.
Report date May 19, 2018 · Filed December 31, 2018 · Amendment
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 290,263 |
Reported balance
After 2018-05-19 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2018-05-19 · Exercise / conversion · Acquired 3,577 · Balance 290,263 F1: The reporting person is amending the Form 4 originally filed to correct the transaction date. F2: The restricted stock units are settled for shares of common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 0 |
Reported balance
After 2018-05-19 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2018-05-19 · Exercise / conversion · Disposed 3,577 · Balance 0 F2: The restricted stock units are settled for shares of common stock on a one-for-one basis. F1: The reporting person is amending the Form 4 originally filed to correct the transaction date. F3: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date) |
Filing footnotes · ownership attribution and instrument terms
F1: The reporting person is amending the Form 4 originally filed to correct the transaction date.
F2: The restricted stock units are settled for shares of common stock on a one-for-one basis.
F3: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date)
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 10, 2019 Filed Jan 14, 2019 17:35 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 6,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000012 · primary_doc.xml · derivative · entry 3 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,801 shares Expires 2019-01-10 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. F3 · derivative.exercise_price: Each RSU represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the January 10, 2019 vesting date was $2.00. F4 · derivative.exercise_date: The RSUs vested in full on January 10, 2019. F4 · derivative.expiration_date: The RSUs vested in full on January 10, 2019. Read SEC document |
| January 10, 2019 Filed Jan 14, 2019 17:35 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 6,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-19-000012 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 223,278 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 · kind: Represents the settlement of restricted stock units ("RSUs") that vested on January 10, 2019 through the issuance of shares of common stock. Read SEC document |
| November 23, 2018 Filed Nov 26, 2018 18:22 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | PurchaseCommon Stock | 2,000 | $6.33 | $12,659.00 |
DisclosureSEC source: 0001249155-18-000075 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman, CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 157,037 F2 · price: This transaction was executed in multiple trades at prices ranging from $6.24 to $6.47. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the SEC staff, the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. Read SEC document |
| November 21, 2018 Filed Nov 26, 2018 18:22 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | PurchaseCommon Stock | 8,000 | $6.36 | $50,840.80 |
DisclosureSEC source: 0001249155-18-000075 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman, CEO and President · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 155,037 F1 · price: This transaction was executed in multiple trades at prices ranging from $6.26 to $6.399. The price reported reflects the weighted average sales price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission staff (the "SEC staff"), the Issuer or a security holder of the Issuer complete information regarding the number of shares sold at each separate price for each purchase transaction reported on this Form 4. Read SEC document |
| October 15, 2018 Filed Oct 17, 2018 19:50 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantEmployee Stock Options (right to buy) · Derivative | 40,000 | $0.00 Strike: $7.87 | $0.00 |
DisclosureSEC source: 0001249155-18-000069 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman, CEO and President 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2028-10-15 F1 · derivative.exercise_date: The options will vest in 12 quarterly installments over three years, commencing on December 31, 2018 and continuing thereafter on the last day of each succeeding fiscal quarter to and including September 30, 2021, subject to continued service with the Issuer on each respective vesting date. Of the 12 vesting events, 11 will each vest 3,333 options and the 12th installment will vest a total of 3,337 options. Read SEC document |
| September 13, 2018 Filed Sep 13, 2018 17:31 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | SaleCommon Stock | 50,000 | $7.75 | $387,500.00 |
DisclosureSEC source: 0001249155-18-000057 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 45,856 F1 · kind: The Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust), an entity for which the reporting person serves as trustee (see Footnote 2), is the owner of the securities, which shares were sold in a private transaction to an unrelated party. F2 · ownership.nature: The reporting person is the trustee of the Irrevocable Trust. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 18:28 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 14,098 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000049 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 14,098 shares Expires 2018-08-22 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. F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35. F7 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 18:28 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantRestricted Stock Units · Derivative | 14,098 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000049 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 14,098 Underlying: Common Stock · 14,098 shares Expires 2018-08-22 F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on August 22, 2018 was $7.35. F7 · derivative.exercise_date: All 14,098 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 14,098 RSUs vested immediately upon grant. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 18:28 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Tax withholdingCommon Stock | 5,598 | $7.35 | $41,145.30 |
DisclosureSEC source: 0001249155-18-000049 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,037 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 5,598 shares of common stock that vested on August 22, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs. Read SEC document |
| August 22, 2018 Filed Aug 24, 2018 18:28 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionCommon Stock | 14,098 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000049 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,635 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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on August 22, 2018. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 11,111 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 10 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 0 Underlying: Common Stock · 11,111 shares Expires 2022-08-10 F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50. F4 · ownership.nature: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 37,975 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 9 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employees' Profit Sharing Plan Disclosed balance after: 0 Underlying: Common Stock · 37,975 shares Expires 2022-08-10 F7 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 22,222 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 8 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employees' Profit Sharing Plan Disclosed balance after: 0 Underlying: Common Stock · 22,222 shares Expires 2022-08-10 F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50. F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 17,930 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 0 Underlying: Common Stock · 17,930 shares Expires 2022-08-10 F7 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 22,222 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,222 shares Expires 2022-08-10 F6 · price: The warrants were issued as a component of units sold in the issuer's public offering, each unit consisting of one share of common stock and one common stock purchase warrant, at a per unit price of $4.50. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock | 11,111 | $5.40 | $59,999.40 |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 5 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 95,856 F5 · balance_after: Takes into account the correction of a typographical error in the Form 4 filed on August 10, 2017. The total after transaction holdings on August 10, 2017 should have been 84,745 shares. All subsequent Form 4s have carried forward this typographical error, until corrected on this Form 4. F4 · ownership.nature: The reporting person is the trustee of the Lindsay Anne Wickersham 1999 Irrevocable Trust (the "Irrevocable Trust"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the Irrevocable Trust. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock | 37,975 | $5.40 | $205,065.00 |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 4 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employees' Profit Sharing Plan Disclosed balance after: 238,727 F1 · price: The warrant exercise price was paid by a reduction in the amount of promissory note indebtedness under notes owned by the warrant holder, such reduction equal to the number of warrants exercised multiplied by the $5.40 exercise price. F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock | 22,222 | $5.40 | $119,998.80 |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 3 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employees' Profit Sharing Plan Disclosed balance after: 200,752 F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock | 17,930 | $5.40 | $96,822.00 |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 60,370 F1 · price: The warrant exercise price was paid by a reduction in the amount of promissory note indebtedness under notes owned by the warrant holder, such reduction equal to the number of warrants exercised multiplied by the $5.40 exercise price. F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| August 09, 2018 Filed Aug 13, 2018 16:57 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | OtherCommon Stock | 22,222 | $5.40 | $119,998.80 |
DisclosureSEC source: 0001249155-18-000046 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 138,537 Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 15,683 | $0.00 Strike: $1.82 | $0.00 |
DisclosureSEC source: 0001225208-18-010853 · doc4.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 15,683 Underlying: Common Stock · 15,683 shares Expires 2023-06-19 F3 · derivative.exercise_date: The option vests and becomes exercisable as to 25% of the total shares on the first day of each calendar quarter following the date of grant provided that any portion remaining unvested as of the date of the Company's 2019 annual stockholder meeting will vest as of such date (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 19, 2018 Filed Jun 21, 2018 19:32 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantRestricted Stock Units · Derivative | 6,593 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010853 · doc4.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,593 Underlying: Common Stock · 6,593 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the earlier of the date of the Company's 2019 annual stockholder meeting, or the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 16:49 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,577 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010667 · doc4.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,577 shares Expires not disclosed 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 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F2 · derivative.exercise_date: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). F2 · derivative.expiration_date: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date). Read SEC document |
| June 12, 2018 Filed Jun 14, 2018 16:49 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-18-010667 · doc4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,263 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 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| May 19, 2018 Filed Dec 31, 2018 15:47 UTC Amendment | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,577 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001223203-18-000004 · primary_doc.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,577 shares Expires not disclosed 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. F2 · security: The restricted stock units are settled for shares of common stock on a one-for-one basis. F1 · date: The reporting person is amending the Form 4 originally filed to correct the transaction date. F3 · derivative.exercise_date: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date) F3 · derivative.expiration_date: The restricted stock units vest in full on the one-year anniversary of the date of grant (subject to recipient's continued service to the Company through such vesting date) Read SEC document |
| May 19, 2018 Filed Dec 31, 2018 15:47 UTC Amendment | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001223203-18-000004 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 290,263 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 · date: The reporting person is amending the Form 4 originally filed to correct the transaction date. F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 19:01 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000031 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2018-04-17 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. F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19. F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 19:01 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000031 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2018-04-17 F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on April 17, 2018 was $7.19. F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 19:01 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Tax withholdingCommon Stock | 1,500 | $7.19 | $10,785.00 |
DisclosureSEC source: 0001249155-18-000031 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,315 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,500 shares of common stock that vested on April 17, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs. Read SEC document |
| April 17, 2018 Filed Apr 18, 2018 19:01 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000031 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 117,815 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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on April 17, 2018. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 16:03 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 37,975 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000025 · primary_doc.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 60,197 Underlying: Common Stock · 37,975 shares Expires 2022-08-10 F1 · kind: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F1 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F3 · ownership.nature: The reporting person is the trustee of the Grover T. Wickersham, P.C. Employees' Profit Sharing Plan (the "PSP"), which is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the PSP, except to the extent of his pecuniary interest in the PSP. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| March 29, 2018 Filed Apr 3, 2018 16:03 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 17,930 | Not disclosed Strike: $5.40 | Not disclosed |
DisclosureSEC source: 0001249155-18-000025 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 17,930 Underlying: Common Stock · 17,930 shares Expires 2022-08-10 F1 · kind: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F1 · price: The warrants were issued in connection with an offering of 5% promissory notes due May 1, 2021. For each $100,000 in principal amount of the note, the investor was issued 10,000 warrants. F2 · ownership.nature: The reporting person is a joint trustee and beneficiary of the Grover T. and Jill Z. Wickersham 2000 Charitable Remainder Trust (the "CRUT") and directs the disposition thereof. The CRUT is the owner of the reported securities. The reporting person disclaims beneficial ownership of the securities owned by the CRUT, except to the extent of his pecuniary interest therein. The inclusion of these securities in this report shall not be deemed an admission of beneficial ownership of the reported securities for purposes of Section 16 or for any other purposes. Read SEC document |
| January 11, 2018 Filed Jan 16, 2018 14:29 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantEmployee Stock Options (right to buy) · Derivative | 25,000 | $0.00 Strike: $3.99 | $0.00 |
DisclosureSEC source: 0001249155-18-000020 · primary_doc.xml · derivative · entry 8 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,000 Underlying: Common Stock · 25,000 shares Expires 2028-01-11 F8 · derivative.exercise_date: The options vest in 12 quarterly installments over three years, commencing on March 31, 2018 and continuing thereafter on the last day of each succeeding fiscal quarter to and including December 31, 2021, subject to continued service with the Issuer on each respective vesting date. Of the quarterly vesting installments, 11 will vest an aggregate of 2,083 options, and the 12th installment will vest an aggregate of 2,087 options. Read SEC document |
| January 11, 2018 Filed Jan 16, 2018 14:29 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000020 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,000 shares Expires 2018-01-11 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. F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on January 11, 2018 was $3.99. F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant. Read SEC document |
| January 11, 2018 Filed Jan 16, 2018 14:29 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantRestricted Stock Units · Derivative | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000020 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,000 Underlying: Common Stock · 5,000 shares Expires 2018-01-11 F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of EAST on January 11, 2018 was $3.99. F7 · derivative.exercise_date: All 5,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 5,000 RSUs vested immediately upon grant. Read SEC document |
| January 11, 2018 Filed Jan 16, 2018 14:29 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Tax withholdingCommon Stock | 1,500 | $3.99 | $5,985.00 |
DisclosureSEC source: 0001249155-18-000020 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,815 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 1,500 shares of common stock that vested on January 11, 2018 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs. Read SEC document |
| January 11, 2018 Filed Jan 16, 2018 14:29 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | Exercise / conversionCommon Stock | 5,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000020 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 114,315 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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on January 11, 2018. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:26 UTC | S&W Seed Co SANW · Entity 81242 | GrantStock Option (right to buy) · Derivative | 6,801 | $0.00 Strike: $4.03 | $0.00 |
DisclosureSEC source: 0001249155-18-000014 · primary_doc.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,801 Underlying: Common Stock · 6,801 shares Expires 2028-01-10 F3 · price: The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. F4 · derivative.exercise_date: The options will vest and become exercisable on January 10, 2019, subject to continued service with the Issuer on the vesting date. Read SEC document |
| January 10, 2018 Filed Jan 12, 2018 18:26 UTC | S&W Seed Co SANW · Entity 81242 | GrantRestricted Stock Units · Derivative | 6,801 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-18-000014 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,801 Underlying: Common Stock · 6,801 shares Expires 2019-01-10 F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the date of this RSU award was $4.025. F3 · price: The RSUs and options were granted pursuant to the Issuer's Amended and Restated 2009 Equity Incentive Plan. F2 · derivative.exercise_date: The RSUs will vest on January 10, 2019, subject to continued service with the Issuer on the vesting date. Read SEC document |
| January 08, 2018 Filed Jan 10, 2018 18:11 UTC | Beeline Holdings, Inc. EAST · Entity 7378 | GrantEmployee Stock Options (right to buy) · Derivative | 50,000 | $0.00 Strike: $3.92 | $0.00 |
DisclosureSEC source: 0001249155-18-000005 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 50,000 shares Expires 2028-01-08 F2 · price: The options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F1 · derivative.exercise_date: The options vest in eight quarterly installments of 6,250 shares over two years, commencing on March 31, 2018 and continuing thereafter on the last day of each succeeding fiscal quarter to and including December 31, 2019, subject to continued service with the Issuer on each respective vesting date. F1 · derivative.expiration_date: The options vest in eight quarterly installments of 6,250 shares over two years, commencing on March 31, 2018 and continuing thereafter on the last day of each succeeding fiscal quarter to and including December 31, 2019, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| December 22, 2017 Filed Dec 26, 2017 17:21 UTC | S&W Seed Co SANW · Entity 81242 | OtherCommon Stock | 50,000 | $3.65 | $182,500.00 |
DisclosureSEC source: 0001249155-17-000090 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 216,477 F1 · kind: The reporting person liquidated a portion of his limited partnership interest in a limited partnership, and pursuant to the provisions of the limited partnership agreement, the general partner elected to make the withdrawal payment by transferring shares of S&W Seed Company common stock owned by the partnership at a value of $3.65 per share. Read SEC document |
| December 20, 2017 Filed Dec 22, 2017 16:03 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 5,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000082 · primary_doc.xml · derivative · entry 3 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,763 shares Expires 2017-12-20 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. F3 · derivative.exercise_price: Each RSU is the economic equivalent of one share of S&W Seed Company common stock. The closing price of SANW on the December 20, 2017 vesting date was $3.50. F4 · derivative.exercise_date: On December 20, 2016, the reporting person was awarded 5,763 RSUs, all of which vested on December 20, 2017. F4 · derivative.expiration_date: On December 20, 2016, the reporting person was awarded 5,763 RSUs, all of which vested on December 20, 2017. Read SEC document |
| December 20, 2017 Filed Dec 22, 2017 16:03 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 5,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000082 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,477 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 · kind: Represents the settlement of restricted stock units ("RSUs") that vested on December 20, 2017 through the issuance of shares of common stock. Read SEC document |
| December 19, 2017 Filed Dec 20, 2017 21:03 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionRestricted Stock Units · Derivative | 3,086 | $0.00 Strike: $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018976 · doc4.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,086 shares Expires 2017-12-19 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. F2 · derivative.exercise_price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| December 19, 2017 Filed Dec 20, 2017 21:03 UTC | SenesTech, Inc. SNES · Entity 8221 | Exercise / conversionCommon Stock | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001225208-17-018976 · doc4.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,686 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. F2 · price: The restricted stock units are settled for shares of common stock on a one-for-one basis. Read SEC document |
| December 18, 2017 Filed Dec 20, 2017 21:03 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantCommon Stock | 35,000 | $0.67 | $23,450.00 |
DisclosureSEC source: 0001225208-17-018976 · doc4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 283,600 F1 · price: These shares were issued to the Reporting Person in lieu of fees for services as a Board member of $23,450, pursuant to the Issuer's 2015 Equity Incentive Plan. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 18:00 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000079 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 10,000 shares Expires 2017-12-14 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. F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of ESDI on December 14, 2017 (the grant date) was $4.33. F8 · price: The RSUs were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 10,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 10,000 RSUs vested immediately upon grant. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 18:00 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | GrantRestricted Stock Units · Derivative | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000079 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,000 Underlying: Common Stock · 10,000 shares Expires 2017-12-14 F6 · derivative.exercise_price: Each RSU is the economic equivalent of one share of Eastside Distilling, Inc. common stock. The closing price of ESDI on December 14, 2017 (the grant date) was $4.33. F8 · price: The RSUs were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 10,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 10,000 RSUs vested immediately upon grant. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 18:00 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Tax withholdingCommon Stock | 3,000 | $4.33 | $12,990.00 |
DisclosureSEC source: 0001249155-17-000079 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 109,315 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 3,000 shares of common stock that vested on December 14, 2017 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of common stock to the reporting person upon vesting of RSUs. Read SEC document |
| December 14, 2017 Filed Dec 18, 2017 18:00 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionCommon Stock | 10,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000079 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman of the Board & CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 112,315 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 · kind: Represents the settlement upon vesting of restricted stock units ("RSUs") that were awarded on December 14, 2017. 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.