Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Item 9 Labs Corp.AIRW · Entity 131489 | CFO, Secretary & Treasurer | September 30, 2016 | November 15, 2016 |
| Red Cat Holdings, Inc.TFVR · Entity 4802 | Interim CFO | January 20, 2017 | March 14, 2017 |
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.
Item 9 Labs Corp.
Report date September 30, 2016 · Filed November 15, 2016
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 163,595 |
Reported balance
After 2016-09-27 transaction · row 1
Account or security details depend on footnotes; rows are not merged.
1 source rowRow 1 · 2016-09-27 · Grant · Acquired 163,595 · Balance 163,595 F1: Jessica Smith acquired 163,595 shares of common stock at a cost basis of $0.078 shares directly from the Issuer pursuant to a Debt Conversion Agreement dated September 26, 2016. |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 · Expires 2026-03-01 | Direct | 333,333 |
Reported balance
After 2016-03-01 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2016-03-01 · Grant · Acquired 33,333 · Balance 333,333 F2: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 · Expires 2026-03-01 | Direct | 366,667 |
Reported balance
After 2016-03-01 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2016-03-01 · Grant · Acquired 33,334 · Balance 366,667 F2: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.15 · Expires 2026-03-01 | Direct | 400,000 |
Reported balance
After 2016-03-01 transaction · row 13
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 13 · 2016-03-01 · Grant · Acquired 33,333 · Balance 400,000 F2: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.11 · Expires 2023-10-04 | Direct | 33,333 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · Balance 33,333 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.11 · Expires 2023-10-04 | Direct | 66,667 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · Balance 66,667 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.11 · Expires 2023-10-04 | Direct | 100,000 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 100,000 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2023-01-25 | Direct | 133,334 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 133,334 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2023-01-25 | Direct | 166,667 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 166,667 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.30 · Expires 2023-01-25 | Direct | 200,000 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 200,000 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2024-09-05 | Direct | 233,333 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 233,333 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2024-09-05 | Direct | 266,667 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · Balance 266,667 |
| OptionSEC Table II · derivative / convertible security · Conversion / exercise price $0.25 · Expires 2024-09-05 | Direct | 300,000 |
Reported balance
Holding disclosure · report date 2016-09-30 · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · Balance 300,000 |
Filing footnotes · ownership attribution and instrument terms
F1: Jessica Smith acquired 163,595 shares of common stock at a cost basis of $0.078 shares directly from the Issuer pursuant to a Debt Conversion Agreement dated September 26, 2016.
F2: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation.
Red Cat Holdings, Inc.
Report date January 20, 2017 · Filed March 14, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock Options (Right to Buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.50 · Expires 2022-01-20 | Direct | 150,000 |
Reported balance
After 2017-01-20 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2017-01-20 · Grant · Acquired 150,000 · Balance 150,000 F2: Not applicable. F1: 16,667 options were vested on the date of grant. The remainder vest in two approximately equal installments on the first and second anniversaries of the date of grant, subject to continued employment on each applicable vesting date. |
Filing footnotes · ownership attribution and instrument terms
F1: 16,667 options were vested on the date of grant. The remainder vest in two approximately equal installments on the first and second anniversaries of the date of grant, subject to continued employment on each applicable vesting date.
F2: Not applicable.
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 20, 2017 Filed Mar 14, 2017 20:10 UTC | Red Cat Holdings, Inc. TFVR · Entity 4802 | GrantStock Options (Right to Buy) · Derivative | 150,000 | Not disclosed Strike: $0.50 | Not disclosed |
DisclosureSEC source: 0001554795-17-000095 · tfvr0314form4smith.xml · derivative · entry 1 Smith Jessica L · CIK 0001597140 · Interim CFO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 150,000 shares Expires 2022-01-20 F2 · price: Not applicable. F1 · derivative.exercise_date: 16,667 options were vested on the date of grant. The remainder vest in two approximately equal installments on the first and second anniversaries of the date of grant, subject to continued employment on each applicable vesting date. Read SEC document |
| September 27, 2016 Filed Nov 15, 2016 12:26 UTC | Item 9 Labs Corp. AIRW · Entity 131489 | GrantCommon Stock | 163,595 | $0.08 | $12,760.41 |
DisclosureSEC source: 0001554795-16-000943 · airw1114form5smith.xml · nonDerivative · entry 1 Smith Jessica L · CIK 0001597140 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 163,595 F1 · ownership.direct: Jessica Smith acquired 163,595 shares of common stock at a cost basis of $0.078 shares directly from the Issuer pursuant to a Debt Conversion Agreement dated September 26, 2016. Read SEC document |
| March 01, 2016 Filed Nov 15, 2016 12:26 UTC | Item 9 Labs Corp. AIRW · Entity 131489 | GrantOption · Derivative | 33,333 | Not disclosed Strike: $0.15 | Not disclosed |
DisclosureSEC source: 0001554795-16-000943 · airw1114form5smith.xml · derivative · entry 13 Smith Jessica L · CIK 0001597140 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 400,000 Underlying: Common Stock · 33,333 shares Expires 2026-03-01 F2 · price: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. Read SEC document |
| March 01, 2016 Filed Nov 15, 2016 12:26 UTC | Item 9 Labs Corp. AIRW · Entity 131489 | GrantOption · Derivative | 33,334 | Not disclosed Strike: $0.15 | Not disclosed |
DisclosureSEC source: 0001554795-16-000943 · airw1114form5smith.xml · derivative · entry 12 Smith Jessica L · CIK 0001597140 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 366,667 Underlying: Common Stock · 33,334 shares Expires 2026-03-01 F2 · price: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. Read SEC document |
| March 01, 2016 Filed Nov 15, 2016 12:26 UTC | Item 9 Labs Corp. AIRW · Entity 131489 | GrantOption · Derivative | 33,333 | Not disclosed Strike: $0.15 | Not disclosed |
DisclosureSEC source: 0001554795-16-000943 · airw1114form5smith.xml · derivative · entry 11 Smith Jessica L · CIK 0001597140 · CFO, Secretary & Treasurer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 333,333 Underlying: Common Stock · 33,333 shares Expires 2026-03-01 F2 · price: The options were issued at a cost basis of $-- as additional consideration for services rendered to the corporation. 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.