Form 4 for PLSE PULSE BIOSCIENCES, INC.
Accepted 2023-12-01 00:00:00 ET · period of report 2023-11-29 · accession 0001437749-23-033434 · 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 | 2023-12-01 | 2023-11-29 | PLSE | DUGGAN ROBERT W | Dir, 10% | M - OptEx | $5.95 | +1,667 | 36.39M | +0.0% | +$9,919 |
| DI | 2023-12-01 | 2023-11-29 | PLSE | DUGGAN ROBERT W | Dir, 10% | P - Purchase | $9.21 | +60.0K | 60.0K | New | +$552.6K |
| D | 2023-12-01 | 2023-11-29 | PLSE | DUGGAN ROBERT W | Dir, 10% | P - Purchase | $9.44 | +158.6K | 36.55M | +0.4% | +$1.50M |
| D | 2023-12-01 | 2023-11-29 | PLSE | DUGGAN ROBERT W | Dir, 10% | M - OptEx | $0.00 | -1,667 | 10.0K | -14% | $0 |
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 | 2023-11-29 | M | A | 1,667 | $5.95 | 36,392,861 | D See footnote | — | — | (F2) Shares are held by Blazon Corporation, of which the Reporting Person is the majority shareholder. |
| 2 | Common | Common Stock | 2023-11-29 | P | A | 60,000 | $9.21 | 60,000 | I | — | — | (F1) Volume-weighted average price. |
| 3 | Common | Common Stock | 2023-11-29 | P | A | 158,600 | $9.44 | 36,551,461 | D | — | — | (F1) Volume-weighted average price. |
| 4 | Derivative | Stock Option (right to buy) | 2023-11-29 | M | D | 1,667 | $0.00 | 10,000 | D | $5.95 · — to 2033-05-25 | 1,667 Common Stock | (F4) Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting. |