Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CHARLES & COLVARD LTDCTHR · Entity 74397 | Director | August 21, 2025 | August 26, 2025 |
| IMAGEWARE SYSTEMS INCIWSY · Entity 125373 | 10% owner | March 24, 2022 | March 24, 2022 |
| Koil Energy Solutions, Inc.KLNG · Entity 2051 | Director | September 22, 2026 | September 24, 2026 |
| MILESTONE SCIENTIFIC INC.MLSS · Entity 7313 | Director | August 28, 2024 | August 30, 2024 |
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.
CHARLES & COLVARD LTD
Report date August 21, 2025 · Filed August 26, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Restricted Stock AwardSEC Table II · derivative / convertible security · Conversion / exercise price $0.00 | Direct | 24,000 |
Reported balance
After 2025-08-21 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2025-08-21 · Grant · Acquired 24,000 · Balance 24,000 F1: The restricted stock was granted pursuant to the Charles & Colvard, Ltd. (the "Issuer") Fiscal 2026 Executive Incentive Program. The reporting person will elect within one week of the Issuer's filing of its Annual Report on Form 10-K for fiscal year ended June 30, 2025 to either receive (1) 65% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below and the remaining 35% of the restricted stock will be converted into a cash bonus award; or (2) 100% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below. However, the two options noted above can be changed for future vesting tranches no less than three months before such vesting event. F2: Represents restricted stock vesting quarterly over one year beginning October 1, 2025, however the October 1, 2025 and the January 1, 2026 tranches will both vest on January 1, 2026 for a total of 12,000 shares of restricted stock vesting on January 1, 2026, and the remaining two tranches will vest quarterly thereafter. |
| Common StockSEC Table I · non-derivative | Direct | 111,777 |
Reported balance
Holding disclosure · report date 2025-08-21 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 111,777 |
| Common StockSEC Table I · non-derivative | IndirectBy Neal Goldman IRA | 12,000 |
Reported balance
Holding disclosure · report date 2025-08-21 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 12,000 |
Filing footnotes · ownership attribution and instrument terms
F1: The restricted stock was granted pursuant to the Charles & Colvard, Ltd. (the "Issuer") Fiscal 2026 Executive Incentive Program. The reporting person will elect within one week of the Issuer's filing of its Annual Report on Form 10-K for fiscal year ended June 30, 2025 to either receive (1) 65% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below and the remaining 35% of the restricted stock will be converted into a cash bonus award; or (2) 100% of the restricted stock, which will convert into the Issuer's common stock upon the vesting parameters outlined in footnote 2 below. However, the two options noted above can be changed for future vesting tranches no less than three months before such vesting event.
F2: Represents restricted stock vesting quarterly over one year beginning October 1, 2025, however the October 1, 2025 and the January 1, 2026 tranches will both vest on January 1, 2026 for a total of 12,000 shares of restricted stock vesting on January 1, 2026, and the remaining two tranches will vest quarterly thereafter.
IMAGEWARE SYSTEMS INC
Report date March 24, 2022 · Filed March 24, 2022
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 49,554,406 |
Reported balance
After 2022-03-24 transaction · row 1
1 source rowRow 1 · 2022-03-24 · Sale · Disposed 3,473,361 · Balance 49,554,406 F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.015 to $0.0182, 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 herein. |
| Common Stock (Indirect)SEC Table I · non-derivative | IndirectBy The Goldman Family 2012 GST Trust | 3,000,000 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,000,000 |
| Common Stock (Indirect)SEC Table I · non-derivative | Indirectheld in an individual retirement account | 11,361,077 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 11,361,077 |
| Common Stock (Indirect)SEC Table I · non-derivative | IndirectBy The Neal and Marlene Goldman Foundation | 147,700 |
Reported balance
Holding disclosure · report date 2022-03-24 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 147,700 |
Filing footnotes · ownership attribution and instrument terms
F1: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $0.015 to $0.0182, 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 herein.
Koil Energy Solutions, Inc.
Report date September 22, 2026 · Filed September 24, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 752,695 |
Reported balance
After 2026-09-22 transaction · row 1
1 source rowRow 1 · 2026-09-22 · Sale · Disposed 10,505 · Balance 752,695 |
MILESTONE SCIENTIFIC INC.
Report date August 28, 2024 · Filed August 30, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, Par Value $0.001SEC Table I · non-derivative | Direct | 1,905,858 |
Reported balance
After 2024-08-28 transaction · row 1
1 source rowRow 1 · 2024-08-28 · Grant · Acquired 134,832 · Balance 1,905,858 F1: Represents the annual fee paid to non-employee directors of $120,000, payable in restricted shares of the Company's common stock one-fourth vesting upon the grant and the balance vesting in equal tranches over the next three quarters, October 1, 2024, January 1, 2025, and April 1, 2025 |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the annual fee paid to non-employee directors of $120,000, payable in restricted shares of the Company's common stock one-fourth vesting upon the grant and the balance vesting in equal tranches over the next three quarters, October 1, 2024, January 1, 2025, and April 1, 2025
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
IPASS INC
Report date February 12, 2019 · Filed February 21, 2019
Section 16 reporting ended · disclosed 2019-02-21. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2019-02-12 transaction · row 1
1 source rowRow 1 · 2019-02-12 · Other · Disposed 111,876 · Balance 0 F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. |
| Common StockSEC Table I · non-derivative | IndirectHeld by Neal and Marlene Goldman Foundation | 0 |
Reported balance
After 2019-02-12 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2019-02-12 · Other · Disposed 10,000 · Balance 0 F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number). F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger. |
Filing footnotes · ownership attribution and instrument terms
F1: On August 23, 2018, iPass, Inc. effected a 1-for-10 reverse stock split (the "Reverse Split"). Accordingly,the number of shares of common stock on a pre-Reverse Split basis were adjusted following the Reverse Split (with fractional shares rounded down to the next whole number).
F2: Disposed of pursuant to Merger Agreement between Issuer and Pareteum in exchange for 1.17 shares of Pareteum common stock having a market value of $2.90 per share on the Effective Date of the Merger.
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 |
|---|---|---|---|---|---|---|
| September 21, 2021 Filed Sep 22, 2021 20:34 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | Disposition to issuerCommon Stock | 1,130,000 | $0.04 | $42,149.00 |
DisclosureSEC source: 0001415889-21-004533 · form4-09222021_050955.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 58,000,128 Read SEC document |
| September 20, 2021 Filed Sep 22, 2021 20:34 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | Disposition to issuerCommon Stock | 793,035 | $0.04 | $32,990.26 |
DisclosureSEC source: 0001415889-21-004533 · form4-09222021_050955.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 59,130,128 Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 39,007 | $0.00 Strike: $1.41 | $0.00 |
DisclosureSEC source: 0001104659-21-117371 · tm2128052-1_4seq1.xml · derivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 39,007 shares Expires 2029-11-21 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. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.84 | $0.00 |
DisclosureSEC source: 0001104659-21-117371 · tm2128052-1_4seq1.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2025-01-01 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. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 39,007 | $1.41 | $54,999.87 |
DisclosureSEC source: 0001104659-21-117371 · tm2128052-1_4seq1.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 984,478 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. Read SEC document |
| September 17, 2021 Filed Sep 20, 2021 20:31 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 50,000 | $1.84 | $92,000.00 |
DisclosureSEC source: 0001104659-21-117371 · tm2128052-1_4seq1.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 945,471 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. Read SEC document |
| August 11, 2021 Filed Apr 1, 2022 19:46 UTC | Koil Energy Solutions, Inc. DPDW · Entity 2051 | GrantSTOCK OPTIONS · Derivative | 50,000 | $0.72 Strike: $0.72 | $36,000.00 |
DisclosureSEC source: 0001683168-22-002285 · ownership.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: COMMON STOCK · 50,000 shares Expires 2026-08-11 F1 · derivative.exercise_date: Stock options subject to the Optionee's continuous service as a director through such date, twenty-five percent of the Shares on each of August 31, 2021, November 30, 2021, February 28, 2022 and May 31, 2022. In addition to the foregoing, all Shares shall vest immediately prior to a Change in Control Read SEC document |
| June 23, 2021 Filed Jun 24, 2021 20:21 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 40,145 | $0.00 Strike: $1.37 | $0.00 |
DisclosureSEC source: 0001104659-21-085116 · tm2120643d1_4.xml · derivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,145 shares Expires 2025-05-20 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. Read SEC document |
| June 23, 2021 Filed Jun 24, 2021 20:21 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 40,145 | $1.37 | $54,998.65 |
DisclosureSEC source: 0001104659-21-085116 · tm2120643d1_4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 895,471 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. Read SEC document |
| June 21, 2021 Filed Jun 23, 2021 19:26 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 45,872 | $2.18 | $100,000.96 |
DisclosureSEC source: 0001437749-21-015468 · rdgdoc.xml · nonDerivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,024,938 Read SEC document |
| June 21, 2021 Filed Jun 23, 2021 19:26 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 457 | $2.19 | $1,000.83 |
DisclosureSEC source: 0001437749-21-015468 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 979,066 Read SEC document |
| June 21, 2021 Filed Jun 23, 2021 19:26 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,442 | $2.08 | $2,999.36 |
DisclosureSEC source: 0001437749-21-015468 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 978,609 Read SEC document |
| June 21, 2021 Filed Jun 23, 2021 19:26 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,190 | $2.52 | $2,998.80 |
DisclosureSEC source: 0001437749-21-015468 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 977,167 Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 18:09 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 840 | $3.57 | $2,998.80 |
DisclosureSEC source: 0001437749-21-009789 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 972,888 Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 18:09 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 765 | $3.92 | $2,998.80 |
DisclosureSEC source: 0001437749-21-009789 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 972,048 Read SEC document |
| April 22, 2021 Filed Apr 26, 2021 18:09 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,064 | $2.82 | $3,000.48 |
DisclosureSEC source: 0001437749-21-009789 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 971,283 Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 14:24 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 22,357 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001104659-21-035326 · tm219538d1_form4.xml · derivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 22,357 shares Expires 2028-05-16 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. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 14:24 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 40,650 | $0.00 Strike: $1.23 | $0.00 |
DisclosureSEC source: 0001104659-21-035326 · tm219538d1_form4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 40,650 shares Expires 2025-09-09 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. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 14:24 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 22,357 | $1.23 | $27,499.11 |
DisclosureSEC source: 0001104659-21-035326 · tm219538d1_form4.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 855,326 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. Read SEC document |
| March 10, 2021 Filed Mar 12, 2021 14:24 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 40,650 | $1.23 | $49,999.50 |
DisclosureSEC source: 0001104659-21-035326 · tm219538d1_form4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 832,969 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 · balance_after: Includes 250,000 shares previously held indirectly through Goldman Partners, L.P, transferred to Mr. Goldman, and now reported herein as directly owned. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 21:26 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 45,454 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001104659-21-024089 · tm216829d1_4.xml · derivative · entry 7 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 45,454 shares Expires 2027-01-01 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. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 21:26 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 50,000 | $0.00 Strike: $1.10 | $0.00 |
DisclosureSEC source: 0001104659-21-024089 · tm216829d1_4.xml · derivative · entry 6 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2026-05-18 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. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 21:26 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 44,642 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001104659-21-024089 · tm216829d1_4.xml · derivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 44,462 shares Expires 2026-01-01 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. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 21:26 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 95,454 | $1.10 | $104,999.40 |
DisclosureSEC source: 0001104659-21-024089 · tm216829d1_4.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 542,319 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. Read SEC document |
| February 12, 2021 Filed Feb 16, 2021 21:26 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 44,642 | $1.12 | $49,999.04 |
DisclosureSEC source: 0001104659-21-024089 · tm216829d1_4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 446,865 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. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 22:09 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 55,005 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001104659-21-007704 · tm214275d1_form4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 55,005 shares Expires 2028-11-08 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. Read SEC document |
| January 22, 2021 Filed Jan 26, 2021 22:09 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 55,005 | $1.00 | $54,999.50 |
DisclosureSEC source: 0001104659-21-007704 · tm214275d1_form4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,223 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. Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 17:40 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,415 | $2.12 | $2,999.80 |
DisclosureSEC source: 0001437749-21-000337 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 827,719 Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 17:40 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,786 | $1.68 | $3,000.48 |
DisclosureSEC source: 0001437749-21-000337 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 826,304 Read SEC document |
| January 05, 2021 Filed Jan 7, 2021 17:40 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,948 | $1.54 | $2,999.92 |
DisclosureSEC source: 0001437749-21-000337 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 824,518 Read SEC document |
| December 29, 2020 Filed Dec 30, 2020 22:10 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 10,000 | $1.96 | $19,600.00 |
DisclosureSEC source: 0001437749-20-026167 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 822,570 Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:36 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionStock Option (right to buy) · Derivative | 61,111 | $0.00 Strike: $0.90 | $0.00 |
DisclosureSEC source: 0001104659-20-135281 · tm2038459d1_form4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 61,111 shares Expires 2027-05-17 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. Read SEC document |
| December 10, 2020 Filed Dec 14, 2020 21:36 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | Exercise / conversionCommon Stock | 61,111 | $0.90 | $54,999.90 |
DisclosureSEC source: 0001104659-20-135281 · tm2038459d1_form4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 347,218 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. Read SEC document |
| November 19, 2020 Filed Dec 1, 2020 23:46 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | GrantStock Option (right to buy) · Derivative | 49,107 | $0.00 Strike: $1.12 | $0.00 |
DisclosureSEC source: 0001104659-20-131198 · tm2037458-3_4.xml · derivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 49,107 Underlying: Common stock · 49,107 shares Expires 2030-11-19 F2 · derivative.exercise_date: Option vests and becomes exercisable on the date of the 2021 Annual Shareholders' Meeting. Read SEC document |
| October 16, 2020 Filed Oct 21, 2020 18:18 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,158 | $1.39 | $2,999.62 |
DisclosureSEC source: 0001437749-20-021385 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 812,571 Read SEC document |
| October 16, 2020 Filed Oct 21, 2020 18:18 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,000 | $1.50 | $3,000.00 |
DisclosureSEC source: 0001437749-20-021385 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 810,412 Read SEC document |
| October 16, 2020 Filed Oct 21, 2020 18:18 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,554 | $1.93 | $2,999.22 |
DisclosureSEC source: 0001437749-20-021385 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 808,412 Read SEC document |
| September 16, 2020 Filed Sep 17, 2020 20:53 UTC | CHARLES & COLVARD LTD CTHR · Entity 74397 | PurchaseCommon Stock | 18,700 | $0.79 | $14,776.74 |
DisclosureSEC source: 0001104659-20-106132 · tm2031230d1_form4.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 286,107 Read SEC document |
| August 05, 2020 Filed Sep 18, 2020 19:13 UTC | Koil Energy Solutions, Inc. DPDW · Entity 2051 | GrantSTOCK OPTIONS · Derivative | 50,000 | $0.37 Strike: $0.37 | $18,500.00 |
DisclosureSEC source: 0001683168-20-003193 · ownership.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: COMMON STOCK · 50,000 shares Expires 2025-08-05 F1 · derivative.exercise_date: Stock options subject to the Optionee's continuous service as a director through such date, twenty-five percent of the Shares on each of August 31, 2020, November 30, 2020, February 28, 2021 and May 31, 2021. In addition to the foregoing, all Shares shall vest immediately prior to a Change in Control. Read SEC document |
| July 10, 2020 Filed Jul 15, 2020 19:14 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,538 | $1.95 | $2,999.10 |
DisclosureSEC source: 0001437749-20-015172 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 807,058 Read SEC document |
| July 10, 2020 Filed Jul 15, 2020 19:14 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,630 | $1.84 | $2,999.20 |
DisclosureSEC source: 0001437749-20-015172 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 805,520 Read SEC document |
| July 10, 2020 Filed Jul 15, 2020 19:14 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,775 | $1.69 | $2,999.75 |
DisclosureSEC source: 0001437749-20-015172 · rdgdoc.xml · nonDerivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 803,889 Read SEC document |
| July 09, 2020 Filed Aug 10, 2020 18:09 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | GrantSeries A-1 Convertible Preferred Stock · Derivative | 4,717 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-20-002085 · form4-08102020_030853.xml · derivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,717 Underlying: Common Stock · 7,256,923 shares Expires not disclosed F7 · derivative.exercise_price: Each share of Series A-1 Preferred Stock has a liquidation preference of $1,000 per share ("Series A-1 Liquidation Preference"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Series A-1 Liquidation Preference, divided by $0.65. F6 · price: On July 9, 2020, the Issuer and the Reporting Person entered into an Exchange Agreement, Consent and Waiver pursuant to which the Reporting Person agreed to exchange one-half of their Series A Preferred for an equivalent number of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred"), in consideration for their waiver of Series A Preferred dividends payable to the Reporting Person for the quarters ended March 31, 2020 and June 30, 2020. F8 · derivative.expiration_date: Shares of Series A-1 Preferred remain convertible so long as the shares remain issued and outstanding. Read SEC document |
| July 09, 2020 Filed Aug 10, 2020 18:09 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | Disposition to issuerSeries A Convertible Preferred Stock · Derivative | 4,717 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001415889-20-002085 · form4-08102020_030853.xml · derivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,717 Underlying: Common Stock · 4,107,739 shares Expires not disclosed F3 · derivative.exercise_price: Each share of Series A Convertible Preferred Stock ("Series A Preferred") has a liquidation preference of $1,000 per share ("Series A Liquidation Preference"), and is convertible, at the option of the holder, into that number of shares of the Issuer's common stock equal to the Series A Liquidation Preference, divided by $1.15. F6 · price: On July 9, 2020, the Issuer and the Reporting Person entered into an Exchange Agreement, Consent and Waiver pursuant to which the Reporting Person agreed to exchange one-half of their Series A Preferred for an equivalent number of Series A-1 Convertible Preferred Stock ("Series A-1 Preferred"), in consideration for their waiver of Series A Preferred dividends payable to the Reporting Person for the quarters ended March 31, 2020 and June 30, 2020. F4 · derivative.exercise_date: 3,133 shares of Series A Preferred were convertible immediately on the acquisition date of September 19, 2017, and 6,301 shares of Series A Preferred were convertible immediately on the acquisition date of September 10, 2018. F5 · derivative.expiration_date: Shares of Series A Preferred remain convertible so long as the shares remain issued and outstanding. Read SEC document |
| June 29, 2020 Filed Aug 10, 2020 18:09 UTC | IMAGEWARE SYSTEMS INC IWSY · Entity 125373 | PurchaseConvertible Note · Derivative | Not disclosed | $450,000.00 Strike: $0.16 | $450,000.00 |
DisclosureSEC source: 0001415889-20-002085 · form4-08102020_030853.xml · derivative · entry 1 GOLDMAN NEAL I · CIK 0001182567 · Director · 10% owner 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 2,812,500 shares Expires 2020-10-13 F1 · derivative.expiration_date: The Convertible Note matures on the earlier to occur of October 13, 2020, or on such date that the Issuer consummates a debt and/or equity financing resulting in net proceeds to the Issuer of at least $3.0 million. Interest accrues on the outstanding principal amount of the Convertible Note beginning on April 13, 2020 at a rate equal to 5% per annum. F2 · derivative.underlying_shares: Represents the number of shares of common stock issuable upon conversion of the principal amount of the Convertible Note at the initial conversion price of the Convertible Note. F1 · valueOwnedAfter: The Convertible Note matures on the earlier to occur of October 13, 2020, or on such date that the Issuer consummates a debt and/or equity financing resulting in net proceeds to the Issuer of at least $3.0 million. Interest accrues on the outstanding principal amount of the Convertible Note beginning on April 13, 2020 at a rate equal to 5% per annum. Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,400 | $1.25 | $3,000.00 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 6 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 802,114 Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,364 | $2.20 | $3,000.80 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 5 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 799,714 Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 1,724 | $1.74 | $2,999.76 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 4 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 798,351 Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,158 | $1.39 | $2,999.62 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 3 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 796,627 Read SEC document |
| June 18, 2020 Filed Jun 22, 2020 21:29 UTC | MILESTONE SCIENTIFIC INC. MLSS · Entity 7313 | GrantCommon Stock, Par Value $0.001 | 2,308 | $1.30 | $3,000.40 |
DisclosureSEC source: 0001437749-20-013575 · rdgdoc.xml · nonDerivative · entry 2 GOLDMAN NEAL I · CIK 0001182567 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 794,468 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.