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 |
|---|---|---|---|---|---|---|
| October 01, 2017 Filed Oct 3, 2017 19:01 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,226 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000073 · 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 · 4,226 shares Expires 2017-10-01 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 September 29, 2017 (the last trading day before the October 1, 2017 vesting date, which fell on a weekend) was $3.15. F4 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,226 vested on October 1, 2017. This is the final vesting installment of this RSU award. F4 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,226 vested on October 1, 2017. This is the final vesting installment of this RSU award. Read SEC document |
| October 01, 2017 Filed Oct 3, 2017 19:01 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,226 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000073 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,714 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 October 1, 2017 through the issuance of shares of common stock. Read SEC document |
| September 17, 2017 Filed Sep 19, 2017 20:03 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | GrantEmployee Stock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $3.78 | $0.00 |
DisclosureSEC source: 0001249155-17-000061 · primary_doc.xml · derivative · entry 8 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2027-09-17 F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F9 · derivative.exercise_date: The options vest in 12 quarterly installments over three years, commencing on September 30, 2017 and continuing thereafter on the last day of each succeeding fiscal quarter to and including June 30, 2020, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| September 17, 2017 Filed Sep 19, 2017 20:03 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000061 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 7,500 shares Expires 2017-09-17 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 ESDI on September 15, 2017 (the last trading day before September 17, 2017, which fell on a weekend) was $3.78. F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 7,500 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 7,500 RSUs vested immediately upon grant. Read SEC document |
| September 17, 2017 Filed Sep 19, 2017 20:03 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000061 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,500 Underlying: Common Stock · 7,500 shares Expires 2017-09-17 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 ESDI on September 15, 2017 (the last trading day before September 17, 2017, which fell on a weekend) was $3.78. F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 7,500 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 7,500 RSUs vested immediately upon grant. Read SEC document |
| September 17, 2017 Filed Sep 19, 2017 20:03 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Tax withholdingCommon Stock | 2,299 | $3.78 | $8,690.22 |
DisclosureSEC source: 0001249155-17-000061 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 102,315 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 2,299 shares of common stock that vested on September 17, 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 |
| September 17, 2017 Filed Sep 19, 2017 20:03 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionCommon Stock | 7,500 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000061 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 104,614 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 September 17, 2017. Read SEC document |
| August 16, 2017 Filed Aug 16, 2017 17:32 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 2,000 | $3.98 | $7,960.00 |
DisclosureSEC source: 0001249155-17-000059 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 178,530 F2 · 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 15, 2017 Filed Aug 16, 2017 17:32 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 5,000 | $3.85 | $19,272.00 |
DisclosureSEC source: 0001249155-17-000059 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 176,530 F1 · price: This transaction was executed in multiple trades at prices ranging from $3.79 to $3.98. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request of the Securities and Exchange Commission, its staff, the Issuer or a security holder of the Issuer, full information regarding the number of shares purchased at each separate price for all transactions reported on this Form 4. F2 · 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 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 11,111 | $0.01 Strike: $5.40 | $111.11 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 11,111 Underlying: Common Stock · 11,111 shares Expires 2022-08-10 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. 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 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 22,222 | $0.01 Strike: $5.40 | $222.22 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 22,222 Underlying: Common Stock · 22,222 shares Expires 2022-08-10 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. 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 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 22,222 | $0.01 Strike: $5.40 | $222.22 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 22,222 Underlying: Common Stock · 22,222 shares Expires 2022-08-10 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. Read SEC document |
| August 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 11,111 | $4.49 | $49,888.39 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · nonDerivative · entry 3 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Irrevocable Trust Disclosed balance after: 87,744 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. F2 · balance_after: Includes an adjustment in the number of shares previously reported to reflect the three-for-one reverse stock split effected by the Issuer as of June 15, 2017. 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 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 22,222 | $4.49 | $99,776.78 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 171,530 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. F2 · balance_after: Includes an adjustment in the number of shares previously reported to reflect the three-for-one reverse stock split effected by the Issuer as of June 15, 2017. 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 10, 2017 Filed Aug 14, 2017 17:57 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 22,222 | $4.49 | $99,776.78 |
DisclosureSEC source: 0001249155-17-000056 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 97,114 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $4.50 per unit. F2 · balance_after: Includes an adjustment in the number of shares previously reported to reflect the three-for-one reverse stock split effected by the Issuer as of June 15, 2017. Read SEC document |
| July 26, 2017 Filed Jul 27, 2017 13:40 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 10,000 | $3.04 | $30,442.00 |
DisclosureSEC source: 0001615774-17-003858 · s106937_form4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 248,600 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $3.00 to $3.23, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 19:41 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 2,500 | $2.81 | $7,025.00 |
DisclosureSEC source: 0001615774-17-003839 · s106926_form4.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Lindsay Ann Wickersham 1999 Trust Disclosed balance after: 53,500 F2 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.65 to $3.19, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 25, 2017 Filed Jul 26, 2017 19:41 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 12,500 | $2.86 | $35,750.00 |
DisclosureSEC source: 0001615774-17-003839 · s106926_form4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 238,600 F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $2.68 to $3.19, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range set forth in this footnote. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000047 · primary_doc.xml · derivative · entry 3 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,226 Underlying: Common Stock · 4,222 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. 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 June 30, 2017 (the last trading date before July 1, 2017, which fell on a weekend) was $4.15. F4 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on July 1, 2017. The remaining unvested RSUs vest on October 1, 2017, subject to the reporting person's continued service with the Issuer on the vesting date. F4 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on July 1, 2017. The remaining unvested RSUs vest on October 1, 2017, subject to the reporting person's continued service with the Issuer on the vesting date. Read SEC document |
| July 01, 2017 Filed Jul 5, 2017 18:41 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000047 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 156,488 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 conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 80,000 RSUs that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 18:19 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock Purchase Warrants (right to buy) · Derivative | 45,565 | Not disclosed Strike: $2.50 | Not disclosed |
DisclosureSEC source: 0001249155-17-000042 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 45,565 Underlying: Common Stock · 45,565 shares Expires 2020-06-02 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $1.30 per unit. The Issuer did not allocate the purchase price between the component securities. Read SEC document |
| June 02, 2017 Filed Jun 6, 2017 18:19 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | PurchaseCommon Stock | 45,565 | $1.30 | $59,234.50 |
DisclosureSEC source: 0001249155-17-000042 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 224,670 F1 · price: The shares reported on Table I and the warrants reported on Table II of this Form 4 were purchased in units, each unit consisting of one share of common stock and one warrant, at a purchase price of $1.30 per unit. The Issuer did not allocate the purchase price between the component securities. Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:41 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $6.99 | $0.00 |
DisclosureSEC source: 0001638599-17-000491 · doc4_4733.xml · derivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2022-05-18 F3 · derivative.exercise_date: The stock option will be fully vested on the earlier of the date immediately preceding the date of the Company's 2018 annual stockholder meeting, or the one year anniversary of the date of grant (subject to optionee's continued service to the Company through such vesting date). Read SEC document |
| May 19, 2017 Filed May 24, 2017 18:41 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantRestricted Stock Units · Derivative | 3,577 | $0.00 | $0.00 |
DisclosureSEC source: 0001638599-17-000491 · doc4_4733.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,577 Underlying: Common Stock · 3,577 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant May 19, 2017 which was $6.99, for a total of 3,577 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 will vest on the earlier of the date immediately preceding the date of the Company's 2018 annual stock holder 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 |
| April 05, 2017 Filed Apr 7, 2017 18:20 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | GrantEmployee Stock Option (right to buy) · Derivative | 100,000 | $0.00 Strike: $1.60 | $0.00 |
DisclosureSEC source: 0001249155-17-000032 · primary_doc.xml · derivative · entry 8 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2017-04-05 F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F9 · derivative.exercise_date: The options vest in eight equal quarterly installments of 12,500 options over two years, commencing on June 30, 2017 and continuing thereafter on the last day of each succeeding fiscal quarter to and including March 31, 2019, subject to continued service with the Issuer on each respective vesting date. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 18:20 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000032 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 100,000 shares Expires 2017-04-05 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 April 5, 2017 was $1.60. F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 100,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 100,000 RSUs vested immediately upon grant. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 18:20 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionRestricted Stock Units · Derivative | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000032 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 100,000 Underlying: Common Stock · 100,000 shares Expires 2017-04-05 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 April 5, 2017 was $1.60. F8 · price: The RSUs and options were granted pursuant to the Issuer's 2016 Equity Incentive Plan. F7 · derivative.exercise_date: All 100,000 RSUs vested immediately upon grant. F7 · derivative.expiration_date: All 100,000 RSUs vested immediately upon grant. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 18:20 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Tax withholdingCommon Stock | 30,650 | $1.60 | $49,040.00 |
DisclosureSEC source: 0001249155-17-000032 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 179,105 F2 · kind: The reporting person is reporting the withholding by the Issuer of an aggregate of 30,650 shares of common stock that vested on April 5, 2017 but that were not issued in order to satisfy the reporting person's tax withholding obligations in connection with the delivery of converted common stock to the reporting person as of April 5, 2017. Read SEC document |
| April 05, 2017 Filed Apr 7, 2017 18:20 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | Exercise / conversionCommon Stock | 100,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000032 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 209,755 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 conversion upon vesting of restricted stock units ("RSUs") into common stock that were awarded on April 5, 2017. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 20:44 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000029 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,448 Underlying: Common Stock · 4,222 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. F4 · 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 March 31, 2017 (the last trading date before April 1, 2017, which fell on a weekend) was $4.95 F5 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on April 1, 2017. The remaining unvested RSUs will continue to vest in quarterly installments of 4,222 RSUs on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion. F5 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on April 1, 2017. The remaining unvested RSUs will continue to vest in quarterly installments of 4,222 RSUs on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, at the Issuer's discretion. Read SEC document |
| April 01, 2017 Filed Apr 4, 2017 20:44 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000029 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 152,266 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 conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 80,000 RSUs that were previously reported on Table II of Form 4, and which was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| January 27, 2017 Filed Jan 31, 2017 19:22 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 1,600 | $7.45 | $11,912.96 |
DisclosureSEC source: 0001144204-17-005193 · v458097_4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 226,100 Read SEC document |
| January 24, 2017 Filed Jan 26, 2017 18:07 UTC | SenesTech, Inc. SNES · Entity 8221 | PurchaseCommon Stock | 1,000 | $7.42 | $7,415.30 |
DisclosureSEC source: 0001144204-17-004107 · v457689_4.xml · nonDerivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · Trustee of Lindsay Ann Wickersham 1999 Trust Disclosed balance after: 51,000 Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 19:14 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionRestricted Stock Units · Derivative | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000005 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 12,670 Underlying: Common Stock · 4,222 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. F5 · 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 December 30, 2016 was $4.60. F6 · derivative.exercise_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on January 1, 2017. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. F6 · derivative.expiration_date: On March 16, 2013, the reporting person was granted 80,000 RSUs, of which 4,222 vested on January 1, 2017. The remaining unvested RSUs will continue to vest in quarterly installments on the first day of each fiscal quarter through and including October 1, 2017, subject to the reporting person's continued service with the Issuer on each respective vesting date. Read SEC document |
| January 01, 2017 Filed Jan 4, 2017 19:14 UTC | S&W Seed Co SANW · Entity 81242 | Exercise / conversionCommon Stock | 4,222 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000005 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 148,044 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 conversion upon vesting of restricted stock units ("RSUs") into common stock. On March 16, 2013, the reporting person was granted 80,000 RSUs that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on March 19, 2013. Read SEC document |
| December 29, 2016 Filed Jan 3, 2017 20:58 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 25,000 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000001 · primary_doc.xml · derivative · entry 8 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 94,231 Underlying: Common Stock · 25,000 shares Expires 2019-06-09 F5 · derivative.exercise_price: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. F9 · kind: The warrants owned by the PSP were assigned to a third party and transferred for no consideration. F9 · price: The warrants owned by the PSP were assigned to a third party and transferred for no consideration. F7 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in beneficial ownership by the holder of more than 9.99% of the Issuer's outstanding shares. The blocker may only be amended by written consent of both the Issuer and the holder. Once the holder's beneficial ownership percentage, calculated in accordance with Rule 13d-3(i), reaches 9.99%, warrants will not be exercisable until such time as the holder's beneficial ownership percentage falls to 9.99% or below. F5 · derivative.underlying_shares: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. F5 · balance_after: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. 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 |
| December 29, 2016 Filed Jan 3, 2017 20:58 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 33,653 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001249155-17-000001 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 0 Underlying: Common Stock · 33,653 shares Expires 2019-06-22 F8 · derivative.exercise_price: Reflects a temporary reduction of the exercise price of the warrants from its original exercise price of $2.00 per share. F6 · price: The warrants owned directly by the reporting person were assigned by him to the CRUT and transferred for no consideration. F7 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in beneficial ownership by the holder of more than 9.99% of the Issuer's outstanding shares. The blocker may only be amended by written consent of both the Issuer and the holder. Once the holder's beneficial ownership percentage, calculated in accordance with Rule 13d-3(i), reaches 9.99%, warrants will not be exercisable until such time as the holder's beneficial ownership percentage falls to 9.99% or below. 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 |
| December 29, 2016 Filed Jan 3, 2017 20:58 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy)k · Derivative | 33,653 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000001 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 33,653 Underlying: Common Stock · 33,653 shares Expires 2019-06-22 F6 · kind: The warrants owned directly by the reporting person were assigned by him to the CRUT and transferred for no consideration. F6 · price: The warrants owned directly by the reporting person were assigned by him to the CRUT and transferred for no consideration. F7 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in beneficial ownership by the holder of more than 9.99% of the Issuer's outstanding shares. The blocker may only be amended by written consent of both the Issuer and the holder. Once the holder's beneficial ownership percentage, calculated in accordance with Rule 13d-3(i), reaches 9.99%, warrants will not be exercisable until such time as the holder's beneficial ownership percentage falls to 9.99% or below. 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 |
| December 29, 2016 Filed Jan 3, 2017 20:58 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 33,653 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000001 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,347 Underlying: Common Stock · 33,653 shares Expires 2019-06-22 F5 · derivative.exercise_price: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. F6 · kind: The warrants owned directly by the reporting person were assigned by him to the CRUT and transferred for no consideration. F5 · shares: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. F6 · price: The warrants owned directly by the reporting person were assigned by him to the CRUT and transferred for no consideration. F7 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in beneficial ownership by the holder of more than 9.99% of the Issuer's outstanding shares. The blocker may only be amended by written consent of both the Issuer and the holder. Once the holder's beneficial ownership percentage, calculated in accordance with Rule 13d-3(i), reaches 9.99%, warrants will not be exercisable until such time as the holder's beneficial ownership percentage falls to 9.99% or below. F5 · balance_after: Reflects the 20-for-1 reverse stock split effected on October 18, 2016. Read SEC document |
| December 29, 2016 Filed Jan 3, 2017 20:58 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock | 33,653 | $1.30 | $43,748.90 |
DisclosureSEC source: 0001249155-17-000001 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 127,320 F1 · price: The warrant exercise price was paid by forgiveness of promissory note indebtedness of $43,748.90. 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 |
| December 29, 2016 Filed Feb 14, 2017 17:40 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 40,384 | $0.00 Strike: $2.00 | $0.00 |
DisclosureSEC source: 0001249155-17-000015 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T. · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 25,963 Underlying: Common Stock · 40,384 shares Expires 2019-06-22 F1 · derivative.exercise_price: The exercise price of the transferred warrants was $2.00; however, at the time of the assignment, they were subject to a temporary exercise price reduction that reduced the exercise price to $1.30 through December 31, 2016. F2 · kind: The warrants were assigned by the reporting person to an unaffiliated third party for no consideration. F2 · price: The warrants were assigned by the reporting person to an unaffiliated third party for no consideration. F3 · derivative.exercise_date: The warrants contain a blocker that prohibits the holder from exercising the warrants if such exercise will result in the beneficial ownership by the holder of more than 9.99% of the Issuer's outstanding shares. The blocker may only be amended by written consent of both the Issuer and the holder. Once the holder's beneficial ownership percentage, calculated in accordance with Rule 13d-3(i), reaches 9.99%, warrants will not be exercisable until such time as the holder's beneficial ownership percentage falls to 9.99% or below. Read SEC document |
| December 21, 2016 Filed Dec 23, 2016 16:05 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 130,769 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001249155-16-000098 · primary_doc.xml · derivative · entry 7 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 119,231 Underlying: Common Stock · 130,769 shares Expires 2019-06-09 F7 · derivative.exercise_price: Reflects a temporary reduction of the exercise price of the warrants from its original exercise price of $2.00 per share. F8 · derivative.exercise_date: The blocker on the warrants was waived to permit exercise of the warrants during the temporary exercise price reduction. F5 · 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 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 |
| December 21, 2016 Filed Dec 23, 2016 16:05 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 37,500 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001249155-16-000098 · primary_doc.xml · derivative · entry 6 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 0 Underlying: Common Stock · 37,500 shares Expires 2019-09-19 F7 · derivative.exercise_price: Reflects a temporary reduction of the exercise price of the warrants from its original exercise price of $2.00 per share. F8 · derivative.exercise_date: The blocker on the warrants was waived to permit exercise of the warrants during the temporary exercise price reduction. F3 · 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 |
| December 21, 2016 Filed Dec 23, 2016 16:05 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock Purchase Warrants (right to buy) · Derivative | 25,000 | $0.00 Strike: $1.30 | $0.00 |
DisclosureSEC source: 0001249155-16-000098 · primary_doc.xml · derivative · entry 5 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 0 Underlying: Common Stock · 25,000 shares Expires 2019-06-30 F7 · derivative.exercise_price: Reflects a temporary reduction of the exercise price of the warrants from its original exercise price of $2.00 per share. F8 · derivative.exercise_date: The blocker on the warrants was waived to permit exercise of the warrants during the temporary exercise price reduction. F3 · 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 |
| December 21, 2016 Filed Dec 23, 2016 16:05 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock | 130,769 | $1.30 | $169,999.70 |
DisclosureSEC source: 0001249155-16-000098 · primary_doc.xml · nonDerivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Employee Profit Sharing Plan Disclosed balance after: 447,924 F4 · price: The warrant exercise price was paid with a combination of $49,999.70 in cash and $120,000 of promissory note indebtedness forgiveness. F2 · balance_after: Reflects a 20-for-1 reverse stock split effective October 18, 2016. F5 · 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 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 |
| December 21, 2016 Filed Dec 23, 2016 16:05 UTC | Beeline Holdings, Inc. ESDI · Entity 7378 | OtherCommon Stock | 62,500 | $1.30 | $81,250.00 |
DisclosureSEC source: 0001249155-16-000098 · primary_doc.xml · nonDerivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director · Chairman and CEO · 10% owner 10b5-1 filing: Not disclosed Ownership: Indirect · By Charitable Remainder Trust Disclosed balance after: 93,667 F1 · price: The warrant exercise price was paid by forgiveness of promissory note indebtedness. F2 · balance_after: Reflects a 20-for-1 reverse stock split effective October 18, 2016. F3 · 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 |
| December 20, 2016 Filed Dec 22, 2016 17:39 UTC | S&W Seed Co SANW · Entity 81242 | GrantStock Option (right to buy) · Derivative | 5,763 | $0.00 Strike: $4.75 | $0.00 |
DisclosureSEC source: 0001249155-16-000096 · primary_doc.xml · derivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,763 Underlying: Common Stock · 5,763 shares Expires 2026-12-20 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 December 20, 2017, subject to continued service with the Issuer on the vesting date. Read SEC document |
| December 20, 2016 Filed Dec 22, 2016 17:39 UTC | S&W Seed Co SANW · Entity 81242 | GrantRestricted Stock Units · Derivative | 5,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001249155-16-000096 · primary_doc.xml · derivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,763 Underlying: Common Stock · 5,763 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents the contingent right to receive one share of the Issuer's common stock upon vesting of the RSU. The closing price of the Issuer's common stock on the date of this RSU award was $4.75. 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 December 20, 2017, subject to continued service with the Issuer on the vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, in the Issuer's sole discretion. F2 · derivative.expiration_date: The RSUs will vest on December 20, 2017, subject to continued service with the Issuer on the vesting date. Vested shares will be delivered to the reporting person on the settlement date unless the Issuer elects to settle the RSUs in cash or a combination of shares and cash, in the Issuer's sole discretion. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:04 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantStock Option (right to buy) · Derivative | 20,000 | $0.00 Strike: $8.10 | $0.00 |
DisclosureSEC source: 0001144204-16-140795 · v455543_4.xml · derivative · entry 2 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,000 Underlying: Common Stock · 20,000 shares Expires 2021-12-19 F3 · derivative.exercise_date: The option becomes vested and exercisable in four equal quarterly installments, beginning on January 1, 2017. Read SEC document |
| December 19, 2016 Filed Dec 21, 2016 21:04 UTC | SenesTech, Inc. SNES · Entity 8221 | GrantRestricted Stock Units · Derivative | 3,086 | $0.00 | $0.00 |
DisclosureSEC source: 0001144204-16-140795 · v455543_4.xml · derivative · entry 1 WICKERSHAM GROVER T · CIK 0001265078 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,086 Underlying: Common Stock · 3,086 shares Expires not disclosed F1 · derivative.exercise_price: The restricted stock units ("RSUs") may be settled for that number of shares of Common Stock equal to $25,000 divided by the closing market price of the Common Stock on the date of grant, December 19, 2016, which was $8.10, for a total of 3,086 shares of Common Stock. F2 · derivative.exercise_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. F2 · derivative.expiration_date: The restricted stock units will vest on the one year anniversary of the date of grant. Vested shares of Common Stock will be delivered to the reporting person promptly following settlement per the terms of the agreement governing the RSUs. 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.