Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| AMAZE HOLDINGS, INC.VINE · Entity 8599 | Director | April 01, 2023 | April 04, 2023 |
| Amergent Hospitality Group Inc.AMHG · Entity 113007 | Director · CEO | April 24, 2023 | May 30, 2023 |
| Forward Industries, Inc.FWDI · Entity 5540 | Director · Chief Executive Officer | May 19, 2026 | May 19, 2026 |
| IMAC Holdings, Inc.BACK · Entity 81795 | Director | December 31, 2024 | January 02, 2025 |
| INTEGRAL TECHNOLOGIES INCITKG · Entity 42923 | Director | May 20, 2026 | June 01, 2026 |
| Sonnet BioTherapeutics Holdings, Inc.BURG · Entity 72220 | Director · CEO, Chairman | January 31, 2020 | March 24, 2020 |
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.
AMAZE HOLDINGS, INC.
Report date April 01, 2023 · Filed April 04, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
After 2023-04-01 transaction · row 1
1 source rowRow 1 · 2023-04-01 · Grant · Acquired 20,000 · Balance 30,000 F1: Represents a restricted stock grant with transfer and forfeiture restrictions on the shares that lapse as follows: 5,000 shares on April 1, 2023 (date of grant), 5,000 shares on July 1, 2023, 5,000 shares on October 1, 2023 and 5,000 shares on January 1, 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a restricted stock grant with transfer and forfeiture restrictions on the shares that lapse as follows: 5,000 shares on April 1, 2023 (date of grant), 5,000 shares on July 1, 2023, 5,000 shares on October 1, 2023 and 5,000 shares on January 1, 2024.
Amergent Hospitality Group Inc.
Report date April 24, 2023 · Filed May 30, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| ISOSEC Table II · derivative / convertible security · Conversion / exercise price $0.60 · Expires 2033-04-24 | Direct | 1 |
Reported balance
After 2023-04-24 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-04-24 · Grant · Acquired 1 · Balance 1 F1: Incentive stock option grant under the Issuer's 2021 Equity Incentive Plan for services. |
| ISOSEC Table II · derivative / convertible security · Conversion / exercise price $1.00 · Expires 2033-04-24 | Direct | 1 |
Reported balance
After 2023-04-24 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2023-04-24 · Grant · Acquired 1 · Balance 1 F1: Incentive stock option grant under the Issuer's 2021 Equity Incentive Plan for services. |
| ISOSEC Table II · derivative / convertible security · Conversion / exercise price $1.60 · Expires 2033-04-24 | Direct | 1 |
Reported balance
After 2023-04-24 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2023-04-24 · Grant · Acquired 1 · Balance 1 F1: Incentive stock option grant under the Issuer's 2021 Equity Incentive Plan for services. |
Filing footnotes · ownership attribution and instrument terms
F1: Incentive stock option grant under the Issuer's 2021 Equity Incentive Plan for services.
Forward Industries, Inc.
Report date May 19, 2026 · Filed May 19, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 1,500 |
Reported balance
After 2026-05-19 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-05-19 · Purchase · Acquired 500 · Balance 1,500 F1: The shares were purchased through the Reporting Person's IRA. |
Filing footnotes · ownership attribution and instrument terms
F1: The shares were purchased through the Reporting Person's IRA.
IMAC Holdings, Inc.
Report date December 31, 2024 · Filed January 02, 2025
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, no par valueSEC Table I · non-derivative | Direct | 12,141 |
Reported balance
After 2024-12-31 transaction · row 1
1 source rowRow 1 · 2024-12-31 · Grant · Acquired 3,333 · Balance 12,141 F1: The Reporting Person received shares of common stock granted under the Issuer's 2018 Incentive Compensation Plan constituting annual board compensation with respect Reporting Person's service as a director during 2024. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person received shares of common stock granted under the Issuer's 2018 Incentive Compensation Plan constituting annual board compensation with respect Reporting Person's service as a director during 2024.
INTEGRAL TECHNOLOGIES INC
Report date May 20, 2026 · Filed June 01, 2026
This filing explicitly reported no securities owned.
Sonnet BioTherapeutics Holdings, Inc.
Report date January 31, 2020 · Filed March 24, 2020
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 10,429 |
Reported balance
After 2020-03-23 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2020-03-23 · Purchase · Acquired 5,000 · Balance 10,429 |
| Common StockSEC Table I · non-derivative | IndirectBy IRA | 10,223 |
Reported balance
After 2020-01-31 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2020-01-31 · Purchase · Acquired 206 · Balance 10,223 F1: Dividend on Series 1 Preferred Stock |
| Common StockSEC Table I · non-derivative | IndirectBy Avenel Financial Group, Inc. | 35,462 |
Reported balance
After 2020-03-23 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2020-03-23 · Purchase · Acquired 2,000 · Balance 35,462 |
| Common StockSEC Table I · non-derivative | Direct | 17,256 |
Reported balance
Holding disclosure · report date 2020-01-31 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 17,256 |
| Series 1 Preferred StockSEC Table I · non-derivative | IndirectBy IRA | 340 |
Reported balance
Holding disclosure · report date 2020-01-31 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 340 |
Filing footnotes · ownership attribution and instrument terms
F1: Dividend on Series 1 Preferred Stock
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 |
|---|---|---|---|---|---|---|
| March 23, 2020 Filed Mar 24, 2020 16:38 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 2,000 | $0.54 | $1,078.00 |
DisclosureSEC source: 0001493152-20-004588 · ownership.xml · nonDerivative · entry 4 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 35,462 Read SEC document |
| March 23, 2020 Filed Mar 24, 2020 16:38 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 5,000 | $0.60 | $3,000.00 |
DisclosureSEC source: 0001493152-20-004588 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 10,429 Read SEC document |
| January 31, 2020 Filed Mar 24, 2020 16:38 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 206 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001493152-20-004588 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 10,223 F1 · price: Dividend on Series 1 Preferred Stock Read SEC document |
| December 10, 2019 Filed Dec 10, 2019 20:25 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 200 | $0.62 | $124.40 |
DisclosureSEC source: 0001493152-19-018968 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 5,223 Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 20:11 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 1,500 | $0.69 | $1,035.00 |
DisclosureSEC source: 0001493152-19-017947 · ownership.xml · nonDerivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 32,462 Read SEC document |
| November 19, 2019 Filed Nov 19, 2019 20:11 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | ConversionCommon Stock | 1,000 | $0.05 | $50.00 |
DisclosureSEC source: 0001493152-19-017947 · ownership.xml · nonDerivative · entry 4 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 33,462 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, 2019 Filed Nov 19, 2019 20:11 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 500 | $0.75 | $375.00 |
DisclosureSEC source: 0001493152-19-017947 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 5,023 Read SEC document |
| November 17, 2019 Filed Nov 19, 2019 20:11 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 165 | $0.64 | $106.05 |
DisclosureSEC source: 0001493152-19-017947 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 4,858 F1 · kind: Dividend paid in common stock on Series 1 Preferred Read SEC document |
| August 23, 2019 Filed Aug 23, 2019 21:00 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 1,000 | $0.57 | $572.00 |
DisclosureSEC source: 0001493152-19-013323 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 4,358 Read SEC document |
| August 19, 2019 Filed Aug 19, 2019 16:09 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 5,000 | $0.61 | $3,050.00 |
DisclosureSEC source: 0001493152-19-012976 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 30,962 Read SEC document |
| July 30, 2019 Filed Jul 31, 2019 18:07 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 105 | $1.12 | $117.60 |
DisclosureSEC source: 0001493152-19-011396 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 3,358 F1 · kind: Dividend issued on Series 1 Preferred in common stock. Read SEC document |
| June 27, 2019 Filed Jun 27, 2019 18:47 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | OtherSubscription Rights (right to buy) · Derivative | 500 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001493152-19-009796 · ownership.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 39,886 Underlying: Common Stock · 500 shares Expires 2019-06-28 Read SEC document |
| June 27, 2019 Filed Jun 27, 2019 18:47 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | OtherCommon Stock | 500 | $1.00 | $500.00 |
DisclosureSEC source: 0001493152-19-009796 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 25,962 F1 · shares: The reporting person exercised its basic subscription rights (each subscription right entitling it to purchase one (1) share of the Issuer's common stock at a subscription price equal to $1 per share), issued pro rata to holders of the Issuer's common stock on the June 7, 2019 record date for the rights offering, under the basic subscription privilege in the rights offering. The reporting person will acquire these shares of common stock when issued by the Issuer at the closing of the rights offering. Read SEC document |
| June 19, 2019 Filed Jun 20, 2019 17:23 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | OtherSubscription Rights (right to buy) · Derivative | 9,000 | $0.00 Strike: $1.00 | $0.00 |
DisclosureSEC source: 0001493152-19-009475 · ownership.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 40,386 Underlying: Common Stock · 9,000 shares Expires 2019-06-24 Read SEC document |
| June 19, 2019 Filed Jun 20, 2019 17:23 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | OtherCommon Stock | 9,000 | $1.00 | $9,000.00 |
DisclosureSEC source: 0001493152-19-009475 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 25,462 F1 · shares: The reporting person exercised its basic subscription rights (each subscription right entitling it to purchase one (1) share of the Issuer's common stock at a subscription price equal to $1 per share), issued pro rata to holders of the Issuer's common stock on the June 7, 2019 record date for the rights offering, under the basic subscription privilege in the rights offering. The reporting person will acquire these shares of common stock when issued by the Issuer at the closing of the rights offering. Read SEC document |
| June 04, 2019 Filed Jun 4, 2019 17:53 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 1,000 | $1.00 | $1,000.00 |
DisclosureSEC source: 0001493152-19-008644 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 16,462 Read SEC document |
| June 04, 2019 Filed Jun 4, 2019 17:53 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 100 | $1.05 | $105.00 |
DisclosureSEC source: 0001493152-19-008644 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 3,253 Read SEC document |
| May 28, 2019 Filed May 29, 2019 16:23 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 500 | $1.10 | $550.00 |
DisclosureSEC source: 0001493152-19-008335 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 3,153 Read SEC document |
| May 24, 2019 Filed May 29, 2019 16:23 UTC | Sonnet BioTherapeutics Holdings, Inc. BURG · Entity 72220 | PurchaseCommon Stock | 500 | $1.16 | $580.00 |
DisclosureSEC source: 0001493152-19-008335 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 2,653 F1 · balance_after: The number of shares beneficially owned following the reported transaction has been adjusted to reflect shares acquired through the reinvestment of preferred stock dividends paid by the Issuer through issuance of the Issuer's common stock. Read SEC document |
| December 31, 2018 Filed Dec 31, 2018 21:34 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 1,000 | $1.31 | $1,305.00 |
DisclosureSEC source: 0001493152-18-018131 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 15,462 Read SEC document |
| December 14, 2018 Filed Dec 17, 2018 21:39 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 500 | $2.00 | $1,000.00 |
DisclosureSEC source: 0001493152-18-017607 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 14,462 Read SEC document |
| November 30, 2018 Filed Nov 30, 2018 20:39 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 500 | $1.76 | $880.00 |
DisclosureSEC source: 0001493152-18-016912 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 13,962 Read SEC document |
| November 27, 2018 Filed Nov 28, 2018 11:05 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 1,000 | $1.75 | $1,750.00 |
DisclosureSEC source: 0001493152-18-016764 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 13,462 Read SEC document |
| November 16, 2018 Filed Nov 16, 2018 18:56 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 400 | $1.94 | $776.00 |
DisclosureSEC source: 0001493152-18-016344 · ownership.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 12,462 Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 10:05 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseSeries 1 Warrants · Derivative | 30 | $11.00 Strike: $11.00 | $330.00 |
DisclosureSEC source: 0001493152-18-013844 · ownership.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 330 Underlying: Common · 300 shares Expires not disclosed F4 · derivative.exercise_price: The price is paid by surrendering one share of Series 1 Preferred stock. F4 · price: The price is paid by surrendering one share of Series 1 Preferred stock. F1 · derivative.exercise_date: These warrants are exercisable at any time at any time and from time to time on or before the seventh anniversary of the date of issuance. F2 · derivative.expiration_date: These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date. F3 · derivative.underlying_shares: Each Series 1 Warrant is exercisable into 10 shares of common stock. Read SEC document |
| September 27, 2018 Filed Sep 28, 2018 10:05 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | GrantSeries 1 Preferred Stock | 30 | $11.00 | $330.00 |
DisclosureSEC source: 0001493152-18-013844 · ownership.xml · nonDerivative · entry 4 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 330 Read SEC document |
| September 12, 2018 Filed Sep 12, 2018 20:57 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | GrantCommon Stock | 300 | $2.34 | $702.00 |
DisclosureSEC source: 0001493152-18-013146 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 12,062 Read SEC document |
| August 16, 2018 Filed Aug 16, 2018 21:00 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseSeries 1 Warrants · Derivative | 100 | $11.00 Strike: $11.00 | $1,100.00 |
DisclosureSEC source: 0001493152-18-012165 · ownership.xml · derivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 300 Underlying: Common · 1,000 shares Expires not disclosed F4 · derivative.exercise_price: The price is paid by surrendering one share of Series 1 Preferred stock. F4 · price: The price is paid by surrendering one share of Series 1 Preferred stock. F1 · derivative.exercise_date: These warrants are exercisable at any time at any time and from time to time on or before the seventh anniversary of the date of issuance. F2 · derivative.expiration_date: These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date. F3 · derivative.underlying_shares: Each Series 1 Warrant is exercisable into 10 shares of common stock. F5 · balance_after: Avenel Financial Group, Inc. beneficially owns 150 warrants, as reported on a Form 4 filed May 8, 2017. Read SEC document |
| August 16, 2018 Filed Aug 16, 2018 21:00 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | GrantSeries 1 Preferred Stock | 100 | $11.00 | $1,100.00 |
DisclosureSEC source: 0001493152-18-012165 · ownership.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 300 Read SEC document |
| May 17, 2018 Filed May 18, 2018 19:19 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseSeries 1 Warrants · Derivative | 100 | $13.50 Strike: $13.50 | $1,350.00 |
DisclosureSEC source: 0001493152-18-007444 · form4.xml · derivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 350 Underlying: Common · 1,000 shares Expires not disclosed F5 · derivative.exercise_price: The price is paid by surrendering one share of Series 1 Preferred stock. F5 · price: The price is paid by surrendering one share of Series 1 Preferred stock. F2 · derivative.exercise_date: These warrants are exercisable at any time at any time and from time to time on or before the seventh anniversary of the date of issuance. F3 · derivative.expiration_date: These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date. F4 · derivative.underlying_shares: Each Series 1 Warrant is exercisable into 10 shares of common stock. F6 · balance_after: Avenel Financial Group, Inc. beneficially owns 150 warrants, as reported on a Form 4 filed May 8, 2017. Read SEC document |
| May 17, 2018 Filed May 18, 2018 19:19 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | GrantSeries 1 Preferred Stock | 100 | $10.50 | $1,050.00 |
DisclosureSEC source: 0001493152-18-007444 · form4.xml · nonDerivative · entry 2 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 200 Read SEC document |
| May 09, 2018 Filed May 11, 2018 21:19 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseWarrants · Derivative | 1,500 | Not disclosed Strike: $4.50 | Not disclosed |
DisclosureSEC source: 0001493152-18-006680 · form4.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 1,500 Underlying: Common · 1,500 shares Expires 2023-11-08 F1 · price: Each warrant was purchased with a share of common stock for $3.50. Read SEC document |
| May 08, 2018 Filed May 11, 2018 21:19 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 1,500 | $3.50 | $5,250.00 |
DisclosureSEC source: 0001493152-18-006680 · form4.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 11,672 Read SEC document |
| March 30, 2018 Filed Apr 3, 2018 17:23 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 6,757 | $3.70 | $25,000.90 |
DisclosureSEC source: 0001493152-18-004662 · form4.xml · nonDerivative · entry 3 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By Avenel Financial Group, Inc. Disclosed balance after: 10,262 Read SEC document |
| September 26, 2017 Filed Sep 27, 2017 21:01 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 100 | $1.96 | $196.00 |
DisclosureSEC source: 0001493152-17-010973 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,990 Read SEC document |
| September 07, 2017 Filed Sep 7, 2017 15:26 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 100 | $2.25 | $224.90 |
DisclosureSEC source: 0001493152-17-010307 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,870 Read SEC document |
| August 17, 2017 Filed Aug 17, 2017 21:10 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 150 | $2.60 | $390.00 |
DisclosureSEC source: 0001493152-17-009554 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,770 Read SEC document |
| June 15, 2017 Filed Jun 15, 2017 17:58 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 100 | $2.68 | $267.60 |
DisclosureSEC source: 0001493152-17-006689 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,620 Read SEC document |
| June 02, 2017 Filed Jun 2, 2017 19:34 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 100 | $2.76 | $275.50 |
DisclosureSEC source: 0001493152-17-006123 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 1,520 Read SEC document |
| May 17, 2017 Filed May 18, 2017 18:12 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | Disposition to issuerWarrants · Derivative | 5,000 | $0.12 Strike: $5.00 | $600.00 |
DisclosureSEC source: 0001493152-17-005581 · form4.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,500 Underlying: Common Stock · 5,000 shares Expires 2017-06-21 Read SEC document |
| May 17, 2017 Filed May 18, 2017 18:12 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 5,000 | $0.34 | $1,699.00 |
DisclosureSEC source: 0001493152-17-005581 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 14,200 Read SEC document |
| March 31, 2017 Filed Apr 3, 2017 10:09 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 3,000 | $0.37 | $1,104.00 |
DisclosureSEC source: 0001493152-17-003340 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 11,200 Read SEC document |
| January 03, 2017 Filed Jan 3, 2017 22:15 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 300 | $0.40 | $119.91 |
DisclosureSEC source: 0001493152-17-000056 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 8,200 Read SEC document |
| December 29, 2016 Filed Dec 30, 2016 11:15 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 300 | $0.43 | $129.00 |
DisclosureSEC source: 0001493152-16-016300 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 7,900 Read SEC document |
| December 21, 2016 Filed Dec 22, 2016 00:45 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchasePreferred Stock | 100 | $13.50 | $1,350.00 |
DisclosureSEC source: 0001493152-16-016126 · form4.xml · nonDerivative · entry 4 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 100 Read SEC document |
| December 21, 2016 Filed Dec 23, 2016 02:52 UTC Amendment | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | GrantSeries 1 Warrants · Derivative | 100 | $13.50 Strike: $13.50 | $1,350.00 |
DisclosureSEC source: 0001493152-16-016165 · form4a.xml · derivative · entry 5 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 100 Underlying: Common Stock · 1,000 shares Expires not disclosed F2 · security: These Series 1 Warrants were purchased as part of a rights offering to purchase units, each consisting of one Series 1 Preferred Share and one Series 1 Warrant. F7 · derivative.exercise_price: The price is paid by surrendering one share of Series 1 Preferred stock. F3 · price: This purchase price is for the total number of units purchased. F4 · derivative.exercise_date: These warrants are exercisable at any time at any time and from time to time on or before the seventh anniversary of the date of issuance. F5 · derivative.expiration_date: These warrants expire in accordance with their terms and no later than on the seventh anniversary of their issue date. F6 · derivative.underlying_shares: Each Series 1 Warrant is exercisable into 10 shares of common stock. Read SEC document |
| December 21, 2016 Filed Dec 23, 2016 02:52 UTC Amendment | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseSeries 1 Preferred Stock | 100 | $13.50 | $1,350.00 |
DisclosureSEC source: 0001493152-16-016165 · form4a.xml · nonDerivative · entry 4 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 100 F1 · security: This Series 1 Preferred Stock was purchased as part of a rights offering to purchase units, each consisting of one Series 1 Preferred Share and one Series 1 Warrant. F3 · price: This purchase price is for the total number of units purchased. Read SEC document |
| November 28, 2016 Filed Nov 28, 2016 19:04 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 400 | $0.54 | $216.80 |
DisclosureSEC source: 0001493152-16-015490 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 7,600 Read SEC document |
| November 16, 2016 Filed Nov 16, 2016 17:57 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 1,000 | $0.55 | $548.00 |
DisclosureSEC source: 0001493152-16-015176 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 7,200 Read SEC document |
| September 28, 2016 Filed Sep 28, 2016 18:12 UTC | Sonnet BioTherapeutics Holdings, Inc. HOTR · Entity 72220 | PurchaseCommon Stock | 400 | $0.58 | $232.00 |
DisclosureSEC source: 0001493152-16-013646 · form4.xml · nonDerivative · entry 1 Pruitt Michael D · CIK 0001124144 · Director · CEO, Chairman 10b5-1 filing: Not disclosed Ownership: Indirect · By IRA Disclosed balance after: 6,200 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.