Form 4 for PLSE PULSE BIOSCIENCES, INC.
Accepted 2022-06-10 00:00:00 ET · period of report 2022-06-09 · accession 0001387131-22-006924 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DI | 2022-06-10 | 2022-06-09 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | — | +81.0K | 411.0K | +25% | — |
| D | 2022-06-10 | 2022-06-09 | PLSE | DUGGAN ROBERT W | Dir, 10% | X - OptEx | — | +5.68M | 20.39M | +39% | — |
| D | 2022-06-10 | 2022-06-09 | PLSE | DUGGAN ROBERT W | Dir, 10% | P - Purchase | — | +5.68M | 5.68M | New | — |
| DI | 2022-06-10 | 2022-06-09 | PLSE | DUGGAN ROBERT W | Dir, 10% | P - Purchase | — | +81.0K | 81.0K | New | — |
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 | 2022-06-09 | X | A | 81,025 | — | 411,044 | I | — | — | (F2) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05. |
| 2 | Common | Common Stock | 2022-06-09 | X | A | 5,683,163 | — | 20,391,724 | D footnote | — | — | (F2) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05. (F3) Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. |
| 3 | Derivative | Warrant (right to buy) | 2022-06-09 | P | A | 5,683,163 | — | 5,683,163 | D footnote | $2.05 · 2022-06-09 to 2027-06-09 | 5,683,163 Common Stock | (F1) The Reporting Person acquired the shares of common stock and 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 the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F3) Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder. (F2) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05. |
| 4 | Derivative | Warrant (right to buy) | 2022-06-09 | P | A | 81,025 | — | 81,025 | I | $2.05 · 2022-06-09 to 2027-06-09 | 81,025 Common Stock | (F1) The Reporting Person acquired the shares of common stock and 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 the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC. (F2) Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05. |