Form 4 for PLSE PULSE BIOSCIENCES, INC.
Accepted 2023-12-06 00:00:00 ET · period of report 2023-12-04 · accession 0001437749-23-033803 · 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| DM | 2023-12-06 | 2023-12-04 | PLSE | DUGGAN ROBERT W | Dir, 10% | M - OptEx | $10.66 | +40.3K | 36.57M | +0.1% | +$430.1K |
| DI | 2023-12-06 | 2023-12-04 | PLSE | DUGGAN ROBERT W | Dir, 10% | P - Purchase | $10.38 | +27.0K | 285.5K | +10% | +$280.3K |
| DM | 2023-12-06 | 2023-12-04 | PLSE | DUGGAN ROBERT W | Dir, 10% | M - OptEx | $0.00 | -40.3K | 0 | -100% | $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 | 2023-12-04 | M | A | 20,347 | $10.66 | 36,591,808 | D | — | — | |
| 2 | Common | Common Stock | 2023-12-04 | M | A | 20,000 | $10.66 | 36,571,461 | D See footnote | — | — | (F2) Shares are held by Blazon Corporation, of which the Reporting Person is the majority shareholder. |
| 3 | Common | Common Stock | 2023-12-04 | P | A | 27,000 | $10.38 | 285,544 | I | — | — | (F1) Volume-weighted average price. |
| 4 | Derivative | Stock Option (right to buy) | 2023-12-04 | M | D | 20,347 | $0.00 | 0 | D | $10.66 · — to 2030-05-18 | 20,347 Common Stock | (F5) Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a quarterly basis following the Company's 2020 Annual Stockholder Meeting. |
| 5 | Derivative | Stock Option (right to buy) | 2023-12-04 | M | D | 20,000 | $0.00 | 0 | D | $10.66 · — to 2030-05-18 | 20,000 Common Stock | (F4) Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a monthly basis following the Company's 2020 Annual Stockholder Meeting. |