Form 4 for PLSE PULSE BIOSCIENCES, INC.
Accepted 2024-12-18 00:00:00 ET · period of report 2024-12-18 · accession 0000950170-24-138177 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| D | 2024-12-18 | 2024-12-18 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | $11.00 | +5.19M | 47.52M | +12% | +$57.07M |
| DMI | 2024-12-18 | 2024-12-18 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | $11.00 | +118.3K | 450.2K | +36% | +$1.30M |
| DM | 2024-12-18 | 2024-12-18 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | — | -5.19M | 0 | -100% | — |
| DMI | 2024-12-18 | 2024-12-18 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | — | -118.3K | 0 | -100% | — |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2024-12-18 | X | A | 5,187,824 | $11.00 | 47,516,541 | D Affiliated Company 1 | — | — | (F2) Shares and Warrants held by Genius 24C Inc., of which the Reporting Person is the sole shareholder. |
| 2 | Common | Common Stock | 2024-12-18 | X | A | 69,020 | $11.00 | 630,109 | I Affiliated Company 2 | — | — | (F3) Shares and Warrants held by Blazon Corporation, of which the Reporting Person is the sole shareholder. |
| 3 | Common | Common Stock | 2024-12-18 | X | A | 49,312 | $11.00 | 450,189 | I | — | — | |
| 4 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 2,593,912 | — | 0 | D Affiliated Company 1 | $11.00 · 2024-07-03 to 2029-07-03 | 2,593,912 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F2) Shares and Warrants held by Genius 24C Inc., of which the Reporting Person is the sole shareholder. |
| 5 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 34,510 | — | 0 | I Affiliated Company 2 | $11.00 · 2024-07-03 to 2029-07-03 | 34,510 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F3) Shares and Warrants held by Blazon Corporation, of which the Reporting Person is the sole shareholder. |
| 6 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 34,510 | — | 0 | I Affiliated Company 2 | $11.00 · 2024-07-03 to 2029-07-03 | 34,510 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F3) Shares and Warrants held by Blazon Corporation, of which the Reporting Person is the sole shareholder. |
| 7 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 24,656 | — | 0 | I | $11.00 · 2024-07-03 to 2029-07-03 | 24,656 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. |
| 8 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 24,656 | — | 0 | I | $11.00 · 2024-07-03 to 2029-07-03 | 24,656 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. |
| 9 | Derivative | Warrants (right to buy) | 2024-12-18 | X | D | 2,593,912 | — | 0 | D Affiliated Company 1 | $11.00 · 2024-07-03 to 2029-07-03 | 2,593,912 Common Stock | (F5) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions. (F4) The Reporting Person acquired the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F2) Shares and Warrants held by Genius 24C Inc., of which the Reporting Person is the sole shareholder. |