Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Atai Beckley N.V.ATAI · Entity 72536 | Director | June 13, 2024 | June 14, 2024 |
| Microvast Holdings, Inc.THCB · Entity 6071 | Director | March 05, 2019 | March 05, 2019 |
| Tuscan Holdings Corp. IITHCA · Entity 156046 | Director | July 11, 2019 | July 11, 2019 |
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.
Atai Beckley N.V.
Report date June 13, 2024 · Filed June 14, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionSEC Table II · derivative / convertible security · Conversion / exercise price $1.34 · Expires 2034-06-13 | Direct | 103,000 |
Reported balance
After 2024-06-13 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2024-06-13 · Grant · Acquired 103,000 · Balance 103,000 F1: The stock option shall vest on the earlier of the day before the ATAI Life Sciences N.V's next annual meeting or June 13, 2025. |
Filing footnotes · ownership attribution and instrument terms
F1: The stock option shall vest on the earlier of the day before the ATAI Life Sciences N.V's next annual meeting or June 13, 2025.
Microvast Holdings, Inc.
Report date March 05, 2019 · Filed March 05, 2019
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 30,000 |
Reported balance
Holding disclosure · report date 2019-03-05 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 30,000 |
Tuscan Holdings Corp. II
Report date July 11, 2019 · Filed July 11, 2019
This filing explicitly reported no securities owned.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
Gold Flora Corp.
Report date July 07, 2023 · Filed July 10, 2023
Section 16 reporting ended · disclosed 2023-07-10. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Ending reported balance
After 2023-07-07 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2023-07-07 · Grant · Acquired 8,949 · Balance 68,704 F1: Represents the payment of Common Shares to Mr. Auerbach triggered by the Business Combination (as defined below) pursuant to an earn-out agreement dated November 24, 2020 (the "Earnout Agreement"). F2: In Canadian Dollars. The price represents the deemed price of the Common Shares pursuant to the Earnout Agreement. Row 2 · 2023-07-07 · Disposition to issuer · Disposed 68,704 · Balance 0 F3: Represents the disposition of Common Shares in connection with the business combination (the "Business Combination") involving the Issuer, Gold Flora, LLC ("Gold Flora"), Stately Capital Corporation ("Stately"), Gold Flora Corporation ("Newco") and Golden Grizzly Bear LLC ("US Merger Sub") in accordance with the terms and conditions of a business combination agreement entered into among TPCO, Gold Flora, Stately, Newco and US Merger Sub dated February 21, 2023 and an agreement and plan of merger entered into by Newco, US Merger Sub and Gold Flora dated February 21, 2023. As part of the Business Combination, the Issuer, Stately and Newco amalgamated to form a new corporation (the "Resulting Issuer"), the Common Shares of the Issuer were exchanged on a one-for-one basis for common shares of the Resulting Issuer, and the Resulting Issuer continued from British Columbia into the State of Delaware under the name "Gold Flora Corporation". |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnote | 7,286,699 |
Reported balance
After 2023-07-07 transaction · row 3
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 3 · 2023-07-07 · Grant · Acquired 632,365 · Balance 7,286,699 F4: Represents the payment of Common Shares triggered by the Business Combination pursuant to the Earnout Agreement in the following amounts: (i) 0 to M3 DAAT LLC; (ii) 610,149 to Murphy Ofutt LCV LLC; (iii) 6,148 to Murphy Ofutt LLC; and (iv) 16,068Murphy Ofutt Common LLC. F2: In Canadian Dollars. The price represents the deemed price of the Common Shares pursuant to the Earnout Agreement. |
| Common SharesSEC Table I · non-derivative | IndirectSee Footnote | 0 |
Reported balance
After 2023-07-07 transaction · row 4
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 4 · 2023-07-07 · Disposition to issuer · Disposed 7,286,699 · Balance 0 F3: Represents the disposition of Common Shares in connection with the business combination (the "Business Combination") involving the Issuer, Gold Flora, LLC ("Gold Flora"), Stately Capital Corporation ("Stately"), Gold Flora Corporation ("Newco") and Golden Grizzly Bear LLC ("US Merger Sub") in accordance with the terms and conditions of a business combination agreement entered into among TPCO, Gold Flora, Stately, Newco and US Merger Sub dated February 21, 2023 and an agreement and plan of merger entered into by Newco, US Merger Sub and Gold Flora dated February 21, 2023. As part of the Business Combination, the Issuer, Stately and Newco amalgamated to form a new corporation (the "Resulting Issuer"), the Common Shares of the Issuer were exchanged on a one-for-one basis for common shares of the Resulting Issuer, and the Resulting Issuer continued from British Columbia into the State of Delaware under the name "Gold Flora Corporation". F5: Represents the disposition of 6,606,845 Common Shares held by M3 DAAT LLC, 656,425Common Shares held by Murphy Ofutt LCV LLC, 16,973Common Shares held by Murphy Ofutt LLC and 6,456Common Shares held by Murphy Ofutt Common LLC, in connection with the Business Combination. Mr. Auerbach disclaims beneficial ownership over all of the shares held by these entities, except to the extent of his pecuniary interest. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2023-07-07 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2023-07-07 · Disposition to issuer · Disposed 73,675 · Balance 0 F6: RSUs convert into Common Shares on a one-for-one basis. Represents RSUs that were forfeited in connection with the Business Combination. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the payment of Common Shares to Mr. Auerbach triggered by the Business Combination (as defined below) pursuant to an earn-out agreement dated November 24, 2020 (the "Earnout Agreement").
F2: In Canadian Dollars. The price represents the deemed price of the Common Shares pursuant to the Earnout Agreement.
F3: Represents the disposition of Common Shares in connection with the business combination (the "Business Combination") involving the Issuer, Gold Flora, LLC ("Gold Flora"), Stately Capital Corporation ("Stately"), Gold Flora Corporation ("Newco") and Golden Grizzly Bear LLC ("US Merger Sub") in accordance with the terms and conditions of a business combination agreement entered into among TPCO, Gold Flora, Stately, Newco and US Merger Sub dated February 21, 2023 and an agreement and plan of merger entered into by Newco, US Merger Sub and Gold Flora dated February 21, 2023. As part of the Business Combination, the Issuer, Stately and Newco amalgamated to form a new corporation (the "Resulting Issuer"), the Common Shares of the Issuer were exchanged on a one-for-one basis for common shares of the Resulting Issuer, and the Resulting Issuer continued from British Columbia into the State of Delaware under the name "Gold Flora Corporation".
F4: Represents the payment of Common Shares triggered by the Business Combination pursuant to the Earnout Agreement in the following amounts: (i) 0 to M3 DAAT LLC; (ii) 610,149 to Murphy Ofutt LCV LLC; (iii) 6,148 to Murphy Ofutt LLC; and (iv) 16,068Murphy Ofutt Common LLC.
F5: Represents the disposition of 6,606,845 Common Shares held by M3 DAAT LLC, 656,425Common Shares held by Murphy Ofutt LCV LLC, 16,973Common Shares held by Murphy Ofutt LLC and 6,456Common Shares held by Murphy Ofutt Common LLC, in connection with the Business Combination. Mr. Auerbach disclaims beneficial ownership over all of the shares held by these entities, except to the extent of his pecuniary interest.
F6: RSUs convert into Common Shares on a one-for-one basis. Represents RSUs that were forfeited in connection with the Business Combination.
Tilray Brands, Inc.
Report date April 30, 2021 · Filed May 05, 2021
Section 16 reporting ended · disclosed 2021-05-05. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class 2 Common StockSEC Table I · non-derivative | Direct | 333,665 |
Reported balance
After 2021-04-30 transaction · row 1
1 source rowRow 1 · 2021-04-30 · Exercise / conversion · Acquired 52,622 · Balance 333,665 F1: Restricted Stock Units ("RSUs") convert into shares of Class 2 Common stock on a one-for-one basis. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-04-30 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2021-04-30 · Exercise / conversion · Disposed 52,622 · Balance 0 F1: Restricted Stock Units ("RSUs") convert into shares of Class 2 Common stock on a one-for-one basis. F6: RSUs granted to the Reporting Person were accelerated and became fully vested on April 30, 2021. |
| Class 2 Common StockSEC Table I · non-derivative | IndirectBy: Murphy Ofutt LLC | 94,090 |
Reported balance
Holding disclosure · report date 2021-04-30 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 94,090 F2: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC. |
| Class 2 Common StockSEC Table I · non-derivative | IndirectBy: Murphy Ofutt Common LLC | 36,802 |
Reported balance
Holding disclosure · report date 2021-04-30 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 36,802 F3: Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC. |
| Class 2 Common StockSEC Table I · non-derivative | IndirectBy: M3 Daat, LLC | 148,568 |
Reported balance
Holding disclosure · report date 2021-04-30 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 148,568 F4: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. |
| Class 2 Common StockSEC Table I · non-derivative | IndirectBy: M3 Ein Sof LLC | 42,028 |
Reported balance
Holding disclosure · report date 2021-04-30 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 42,028 F5: Mr. Auerbach is a member of M3 Ein Sof LLC and has sole voting and investment power with respect to the shares held by M3 Ein Sof LLC. |
Filing footnotes · ownership attribution and instrument terms
F1: Restricted Stock Units ("RSUs") convert into shares of Class 2 Common stock on a one-for-one basis.
F2: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC.
F3: Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC.
F4: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC.
F5: Mr. Auerbach is a member of M3 Ein Sof LLC and has sole voting and investment power with respect to the shares held by M3 Ein Sof LLC.
F6: RSUs granted to the Reporting Person were accelerated and became fully vested on April 30, 2021.
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 |
|---|---|---|---|---|---|---|
| June 05, 2020 Filed Jun 9, 2020 19:40 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 57,159 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035409 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: M3 Daat, LLC Disclosed balance after: 65,050 F3 · kind: Mr. Auerbach retained interest in 57,159 of the Distribution Shares through M3 Daat, LLC, in which Mr. Auerbach is a member and has sole voting and investment power. F4 · ownership.nature: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Read SEC document |
| June 05, 2020 Filed Jun 9, 2020 19:40 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 538,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-035409 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt LLC Disclosed balance after: 128,319 F1 · kind: Murphy Ofutt, LLC made a pro rata distribution for no consideration of 538,706 shares of Class 2 Common Stock of the Issuer ("Distribution Shares") to its members on June 5, 2020. F2 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC. Read SEC document |
| June 05, 2020 Filed Aug 5, 2020 18:56 UTC Amendment | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 10,475 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045289 · doc4a.xml · nonDerivative · entry 4 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: M3 Daat, LLC Disclosed balance after: 75,526 F11 · kind: Mr. Auerbach retained interest in 10,475 of the Murphy Distribution Shares through M3 Daat, LLC, in which Mr. Auerbach has sole voting and investment power. F12 · balance_after: On June 9, 2020 and July 1, 2020, an error in the number of shares of Common Stock reported in Column 4 held by M3 Daat, LLC on June 9, 2020 resulted in an incorrect number of shares reported in Column 5. The correct number of shares is 75,526. F7 · ownership.nature: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Read SEC document |
| June 05, 2020 Filed Aug 5, 2020 18:56 UTC Amendment | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 210,710 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045289 · doc4a.xml · nonDerivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt Common LLC Disclosed balance after: 456,315 F8 · kind: Murphy Ofutt Common LLC made a pro rata distribution for no consideration of 210,710 shares of Class 2 Common Stock of the Issuer ("Murphy Distribution Shares") to its members on June 5, 2020. F9 · balance_after: On June 9, 2020 and July 1, 2020, the Reporting Person filed a Form 4 which mistakenly reported the number of shares of Common Stock beneficially owned by Murphy Offutt Common LLC following the Reported Transaction. In fact, the Reporting Person indirectly holds 456,315 shares of Common Stock through Murphy Offutt Common LLC. F10 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC Read SEC document |
| June 05, 2020 Filed Aug 5, 2020 18:56 UTC Amendment | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 57,160 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045289 · doc4a.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: M3 Daat, LLC Disclosed balance after: 65,051 F4 · kind: Mr. Auerbach retained interest in 57,159 of the Distribution Shares through M3 Daat, LLC, in which Mr. Auerbach is a member and has sole voting and investment power. F5 · shares: On June 9, 2020 and July 1, 2020, the Reporting Person filed a Form 4 which mistakenly reported one less share of Common Stock held by M3 Daat, LLC as a result of a rounding error. The Reporting Person retains interest in 57,160 shares of Common Stock through M3 Daat, LLC in which the Reporting Person is a member and has sole voting and investment power. F6 · balance_after: On June 9, 2020, an error in the number of shares of Common Stock reported in Column 4 held by M3 Daat, LLC resulted in an incorrect number of shares reported in Column 5. The correct number of shares is 65,051. F7 · ownership.nature: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Read SEC document |
| June 05, 2020 Filed Aug 5, 2020 18:56 UTC Amendment | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 538,706 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-045289 · doc4a.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt LLC Disclosed balance after: 1,166,634 F1 · kind: Murphy Ofutt, LLC made a pro rata distribution for no consideration of 538,706 shares of Class 2 Common Stock of the Issuer ("Distribution Shares") to its members on June 5, 2020. F2 · balance_after: On June 9, 2020 and July 1, 2020, the Reporting Person filed a Form 4 which mistakenly reported the number of shares of Class 2 Common Stock of the Issuer ("Common Stock") beneficially owned by Murphy Offutt LLC following the Reported Transaction. In fact, the Reporting Person indirectly holds 1,166,634 shares of Common Stock through Murphy Offutt LLC. F3 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC. Read SEC document |
| May 28, 2020 Filed Jun 3, 2020 19:47 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 7,371 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-034310 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class 2 Common Stock · 7,371 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. F5 · derivative.expiration_date: The RSUs shall vest in full upon the earlier of (1) the date of the 2020 Annual Meeting of Stockholders of the Issuer (which occurred on May 28, 2020), and (2) the one-year anniversary of June 1, 2019 so long as the Reporting Person remains in Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan), through such vesting date. Read SEC document |
| May 28, 2020 Filed Jun 3, 2020 19:47 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 7,371 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-034310 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 393,256 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,290 | $0.00 Strike: $0.19 | $0.00 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · derivative · entry 9 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,168 Underlying: Class 2 Common Stock · 18,290 shares Expires 2025-09-17 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. F8 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionStock Option (Right to Buy) · Derivative | 107,290 | $0.00 Strike: $0.19 | $0.00 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · derivative · entry 8 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Class 2 Common Stock · 107,290 shares Expires 2024-06-17 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. F8 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | SaleClass 2 Common Stock | 125,580 | $7.38 | $926,993.89 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · nonDerivative · entry 4 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 385,885 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F5 · shares: The shares represent shares issued upon exercise of options, which options were a part of the pro rata release of 11 million shares of Class 2 common stock held by the former equity holders of Privateer Holdings, Inc. ("Privateer"), which were released from lock-up on April 3, 2020 under the Agreement and Plan of Merger and Reorganization, dated September 9, 2019, by and among Tilray, Privateer, Down River Merger Sub, LLC, a Delaware limited liability company and wholly owned subsidiary of Tilray. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.0450 to $7.3817, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 3 to this Form 4. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | SaleClass 2 Common Stock | 95,131 | $7.38 | $702,228.50 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · nonDerivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 511,465 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · shares: The shares were a part of the pro rata release of 11 million shares of Class 2 common stock held by the former equity holders of Privateer Holdings, Inc. ("Privateer"). The shares were released from lock-up on April 3, 2020 under the Agreement and Plan of Merger and Reorganization, dated September 9, 2019, by and among Tilray, Privateer, Down River Merger Sub, LLC, a Delaware limited liability company and wholly owned subsidiary of Tilray. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $7.0450 to $7.3817, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 3 to this Form 4. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 18,290 | $0.19 | $3,498.88 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 606,596 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| May 01, 2020 Filed May 5, 2020 21:13 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 107,290 | $0.19 | $20,524.58 |
DisclosureSEC source: 0001209191-20-027373 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 588,306 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 19:09 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 1,069 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023970 · doc4.xml · nonDerivative · entry 4 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: M3 Daat, LLC Disclosed balance after: 7,891 F7 · kind: Mr. Auerbach retained interest in 1,069 of the Murphy Distribution Shares through M3 Daat, LLC, in which Mr. Auerbach is a member and has sole voting and investment power. F4 · ownership.nature: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 19:09 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 425,235 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023970 · doc4.xml · nonDerivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt LLC Disclosed balance after: 1,705,342 F5 · kind: Murphy Ofutt LLC made a pro rata distribution for no consideration of 425,235 shares of Class 2 Common Stock of the Issuer ("Murphy Distribution Shares") to its members on April 6, 2020. F6 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 19:09 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 6,822 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023970 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: M3 Daat, LLC Disclosed balance after: 6,822 F3 · kind: Mr. Auerbach retained interest in 6,822 of the Distribution Shares through M3 Daat, LLC, in which Mr. Auerbach is a member and has sole voting and investment power. F4 · ownership.nature: The Reporting Person is a member of M3 Daat, LLC and has sole voting and investment power with respect to the shares held by M3 Daat, LLC. Read SEC document |
| April 06, 2020 Filed Apr 8, 2020 19:09 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 166,326 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023970 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt Common LLC Disclosed balance after: 667,025 F1 · kind: Murphy Ofutt Common, LLC made a pro rata distribution for no consideration of 166,326 shares of Class 2 Common Stock of the Issuer ("Distribution Shares") to its members on April 6, 2020. F2 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 20:10 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 2,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-023497 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 17,500 Underlying: Class 2 Common Stock · 2,188 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. F5 · derivative.expiration_date: The RSUs shall vest at the rate of 25% of the RSUs on the twelve (12) month anniversary of April 1, 2018 (the "Vesting Commencement Date"), and the remaining RSUs will vest quarterly thereafter at the rate of 6.25% of the total number of RSUs on each quarterly anniversary of the Vesting Commencement Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of RSUs shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| April 01, 2020 Filed Apr 3, 2020 20:10 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 2,188 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-023497 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 481,016 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 17:50 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 2,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-20-001328 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 19,688 Underlying: Class 2 Common Stock · 2,187 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. F5 · derivative.expiration_date: The RSUs shall vest at the rate of 25% of the RSUs on the twelve (12) month anniversary of April 1, 2018 (the "Vesting Commencement Date"), and the remaining RSUs will vest quarterly thereafter at the rate of 6.25% of the total number of RSUs on each quarterly anniversary of the Vesting Commencement Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of RSUs shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| January 01, 2020 Filed Jan 3, 2020 17:50 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 2,187 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-20-001328 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 478,828 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 107,290 | Not disclosed Strike: $4.82 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 12 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,290 Underlying: Class 2 Common Stock · 107,290 shares Expires 2028-04-12 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F15 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of Target's Class 3 Common Stock for $5.1692 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 107,290 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 11 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,290 Underlying: Class 2 Common Stock · 107,290 shares Expires 2027-03-19 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F14 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of Target's Class 1 Common Stock for $2.9217 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 21,458 | Not disclosed Strike: $1.25 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 10 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,458 Underlying: Class 2 Common Stock · 21,458 shares Expires 2024-11-10 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F13 · price: Received in the Merger in exchange for a stock option to acquire 20,000 shares of Target's Class 1 Common Stock for $1.3387 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 107,290 | Not disclosed Strike: $2.51 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 9 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,290 Underlying: Class 2 Common Stock · 107,290 shares Expires 2024-11-10 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F12 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of Target's Class 1 Common Stock for $1.3387 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 21,458 | Not disclosed Strike: $2.51 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 8 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,458 Underlying: Class 2 Common Stock · 21,458 shares Expires 2025-09-17 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F11 · price: Received in the Merger in exchange for a stock option to acquire 20,000 shares of Target's Class 1 Common Stock for $2.697 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 107,290 | Not disclosed Strike: $2.51 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 7 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,290 Underlying: Class 2 Common Stock · 107,290 shares Expires 2025-09-17 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F10 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of Target's Class 1 Common Stock for $2.697 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 107,290 | Not disclosed Strike: $0.19 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 6 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,290 Underlying: Class 2 Common Stock · 107,290 shares Expires 2024-06-17 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F9 · price: Received in the Merger in exchange for a stock option to acquire 100,000 shares of Target's Class 1 Common Stock for $0.2052 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantStock Option (Right to Buy) · Derivative | 21,458 | Not disclosed Strike: $0.19 | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,458 Underlying: Class 2 Common Stock · 21,458 shares Expires 2024-06-17 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F8 · price: Received in the Merger in exchange for a stock option to acquire 20,000 shares of Target's Class 1 Common Stock for $0.2052 per share. F7 · derivative.exercise_date: The shares subject to this option are fully vested. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantClass 2 Common Stock | 2,130,577 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · nonDerivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt, LLC Disclosed balance after: 2,130,577 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F4 · price: These shares were received exchange for (i) 1,463,699 shares of Target's Series A Preferred Stock, (ii) 152,970 shares of Target's Series B Preferred Stock and (iii) 195,347 shares of Target's Series C Preferred Stock in connection with the Merger. F5 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt, LLC. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantClass 2 Common Stock | 833,351 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By: Murphy Ofutt Common, LLC Disclosed balance after: 833,351 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F2 · price: These shares were received exchange for (i) 687,083 shares of Target's Class 1 Common Stock, and (ii) 21,667 shares of Target's Class 2 Common Stock. F3 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt Common, LLC, a multi-member limited liability company. Mr. Auerbach has sole voting and investment power with respect to the shares held by Murphy Ofutt Common, LLC. Read SEC document |
| December 12, 2019 Filed Dec 16, 2019 19:58 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantClass 2 Common Stock | 476,641 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-060777 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 476,641 F1 · date: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. F1 · price: On September 9, 2019, the Issuer entered into an Agreement and Plan of Reorganization (the "Merger Agreement") with Privateer Holdings, Inc. ("Target"), Down River Merger Sub, LLC, a wholly owned subsidiary of the Issuer (the "Subsidiary"), and Michael Blue, as the Stockholder Representative. On December 12, 2019 (the "Effective Time"), Target merged with and into the Subsidiary. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 20:00 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionStock Option (Right to Buy) · Derivative | 18,750 | $0.00 Strike: $7.76 | $0.00 |
DisclosureSEC source: 0001209191-19-059186 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,250 Underlying: Class 2 Common STock · 18,750 shares Expires 2028-05-20 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. F5 · derivative.exercise_date: The shares vest at the rate of 25% of the shares on the twelve (12) month anniversary of April 1, 2018 (the "Vest Date"), and the remaining shares will vest quarterly thereafter at the rate of 6.25% of the total number of shares on each quarterly anniversary of the Vesting Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of shares shall be fully vested on the four-year anniversary of the Vesting Date. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 20:00 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | SaleClass 2 Common Stock | 900 | $19.81 | $17,832.96 |
DisclosureSEC source: 0001209191-19-059186 · doc4.xml · nonDerivative · entry 4 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By M3 Ein Sof LLC Disclosed balance after: 42,028 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F4 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $19.75 to $19.84, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 4 to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 20:00 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | SaleClass 2 Common Stock | 7,537 | $19.05 | $143,585.88 |
DisclosureSEC source: 0001209191-19-059186 · doc4.xml · nonDerivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By M3 Ein Sof LLC Disclosed balance after: 42,928 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.75 to $19.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 3 to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 20:00 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | SaleClass 2 Common Stock | 31,875 | $19.05 | $607,244.25 |
DisclosureSEC source: 0001209191-19-059186 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F2 · shares: The sales reported in this Form 4 were effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. F3 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $18.75 to $19.74, inclusive. The Reporting Person undertakes to provide to the Issuer, any security holder of the Issuer, or to the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range set forth in the footnote 3 to this Form 4. Read SEC document |
| December 02, 2019 Filed Dec 4, 2019 20:00 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 18,750 | $7.76 | $145,500.00 |
DisclosureSEC source: 0001209191-19-059186 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,875 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 · shares: The stock option exercise reported in this Form 4 was effected pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 20:33 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 2,188 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-052473 · doc4.xml · derivative · entry 3 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 21,875 Underlying: Class 2 Common Stock · 2,188 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. F2 · derivative.expiration_date: The RSUs shall vest at the rate of 25% of the RSUs on the twelve (12) month anniversary of April 1, 2018 (the "Vesting Commencement Date"), and the remaining RSUs will vest quarterly thereafter at the rate of 6.25% of the total number of RSUs on each quarterly anniversary of the Vesting Commencement Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of RSUs shall be fully vested on the four-year anniversary of the Vesting Commencement Date. Read SEC document |
| October 01, 2019 Filed Oct 3, 2019 20:33 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 2,188 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-052473 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 13,125 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of Class 2 Common Stock. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 17:18 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 2,187 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-041212 · doc4.xml · derivative · entry 5 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 24,063 Underlying: Class 2 Common Stock · 2,187 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of the Issuer's Class 2 Common Stock. F2 · derivative.expiration_date: The RSUs shall vest at the rate of 25% of the RSUs on the twelve (12) month anniversary of April 1, 2018 (the "Vesting Date"), and the remaining RSUs will vest quarterly thereafter at the rate of 6.25% of the total number of RSUs on each quarterly anniversary of the Vesting Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of RSUs shall be fully vested on the four-year anniversary of the Vesting Date. Read SEC document |
| July 01, 2019 Filed Jul 3, 2019 17:18 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 2,187 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-041212 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 10,937 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of the Issuer's Class 2 Common Stock. Read SEC document |
| June 07, 2019 Filed Jun 11, 2019 17:41 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | GrantRestricted Stock Units · Derivative | 7,371 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-036141 · doc4.xml · derivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 7,371 Underlying: Class 2 Common Stock · 7,371 shares Expires not disclosed F1 · derivative.exercise_price: Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Class 2 Common Stock. F2 · derivative.exercise_date: The RSUs shall vest in full upon the earlier of (1) the one-year anniversary of June 1, 2019 (the "Vesting Date") and (2) the date of the 2020 Annual Meeting of Stockholders of the Issuer, so long as the Reporting Person remains in Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan), through such Vesting Date. F2 · derivative.expiration_date: The RSUs shall vest in full upon the earlier of (1) the one-year anniversary of June 1, 2019 (the "Vesting Date") and (2) the date of the 2020 Annual Meeting of Stockholders of the Issuer, so long as the Reporting Person remains in Continuous Service (as defined in the Issuer's 2018 Equity Incentive Plan), through such Vesting Date. Read SEC document |
| April 01, 2019 Filed Jul 3, 2019 17:18 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionRestricted Stock Units · Derivative | 8,750 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-041212 · doc4.xml · derivative · entry 4 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,250 Underlying: Class 2 Common Stock · 8,750 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: Each restricted stock unit ("RSU") converted into one share of the Issuer's Class 2 Common Stock. F2 · derivative.expiration_date: The RSUs shall vest at the rate of 25% of the RSUs on the twelve (12) month anniversary of April 1, 2018 (the "Vesting Date"), and the remaining RSUs will vest quarterly thereafter at the rate of 6.25% of the total number of RSUs on each quarterly anniversary of the Vesting Date thereafter for so long as the Reporting Person remains in Continuous Service (as defined in the Company's 2018 Equity Incentive Plan), such that the total number of RSUs shall be fully vested on the four-year anniversary of the Vesting Date. Read SEC document |
| April 01, 2019 Filed Jul 3, 2019 17:18 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | Exercise / conversionClass 2 Common Stock | 8,750 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-19-041212 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,750 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · price: Each restricted stock unit ("RSU") converted into one share of the Issuer's Class 2 Common Stock. Read SEC document |
| January 15, 2019 Filed Jan 17, 2019 17:39 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 50,465 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004338 · doc4.xml · nonDerivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By M3 Ein Sof LLC Disclosed balance after: 50,465 F2 · kind: Mr. Auerbach retained interest in 50,465 of the Distribution Shares through M3 Ein Sof LLC, in which Mr. Auerbach has sole voting and investment power. F2 · balance_after: Mr. Auerbach retained interest in 50,465 of the Distribution Shares through M3 Ein Sof LLC, in which Mr. Auerbach has sole voting and investment power. Read SEC document |
| January 15, 2019 Filed Jan 17, 2019 17:39 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | OtherClass 2 Common Stock | 296,741 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-19-004338 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Murphy Ofutt Tilray, LLC Disclosed balance after: 0 F1 · kind: Murphy Ofutt Tilray, LLC made a pro rata distribution for no consideration of 296,741 shares of Class 2 Common Stock of the Issuer ("Distribution Shares") to its members on January 15, 2019. Read SEC document |
| July 23, 2018 Filed Jul 25, 2018 13:04 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | ConversionSeries A Preferred Shares · Derivative | 296,741 | $0.00 | $0.00 |
DisclosureSEC source: 0001209191-18-043858 · doc4.xml · derivative · entry 2 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Murphy Ofutt Tilray, LLC Disclosed balance after: 0 Underlying: Class 2 Common Stock · 296,741 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_price: The Series A Preferred Shares automatically converted into Class 2 Common Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F1 · derivative.exercise_date: The Series A Preferred Shares automatically converted into Class 2 Common Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F3 · derivative.expiration_date: Not applicable. F2 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt Tilray, LLC and has sole voting and investment power with respect to the shares held by Murphy Ofutt Tilray, LLC. Read SEC document |
| July 23, 2018 Filed Jul 25, 2018 13:04 UTC | Tilray Brands, Inc. TLRY · Entity 5319 | ConversionClass 2 Common Stock | 296,741 | $17.00 | $5,044,597.00 |
DisclosureSEC source: 0001209191-18-043858 · doc4.xml · nonDerivative · entry 1 Auerbach Michael · CIK 0001746080 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By Murphy Ofutt Tilray, LLC Disclosed balance after: 296,741 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 · shares: The Series A Preferred Shares automatically converted into Class 2 Common Shares of the Issuer on a 1-to-1 basis upon closing of the initial public offering of the Issuer. F2 · ownership.nature: Mr. Auerbach serves as General Partner of Murphy Ofutt Tilray, LLC and has sole voting and investment power with respect to the shares held by Murphy Ofutt Tilray, LLC. 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.