Form 4 for NIXX Nixxy, Inc.
Accepted 2021-11-18 00:00:00 ET · period of report 2019-11-15 · accession 0001654954-21-012422 · 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 | 2021-11-18 | 2019-11-15+ | NIXX | Sohn Evan | CEO, Executive COB, Dir | P - Purchase | $3.15 | +2,602 | 202.7K | +1% | +$8,189 |
| D | 2021-11-18 | 2021-03-11 | NIXX | Sohn Evan | CEO, Executive COB, Dir | A - Grant | — | +1,626 | 204.8K | +0.8% | — |
| DM | 2021-11-18 | 2020-06-18+ | NIXX | Sohn Evan | CEO, Executive COB, Dir | A - Grant | — | +321.6K | 221.6K | 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, par value $0.0001 | 2019-11-18 | P | A | 360 | — | 203,018 | D | — | — | (F3) These shares were purchased in multiple transactions at prices ranging from $2.32 to $4.87, inclusive. |
| 2 | Common | Common Stock, par value $0.0001 | 2021-11-18 | P | A | 1,650 | $2.95 | 206,446 | D | — | — | (F6) Purchase of shares pursuant to a Rule 10b5-1 trading plan adopted by the Reporting Person. |
| 3 | Common | Common Stock, par value $0.0001 | 2021-03-11 | A | A | 1,626 | — | 204,796 | D | — | — | (F5) Issuance of shares pursuant to August 2018 consulting agreement between the Issuer and the Reporting Person entered into prior to the Reporting Person's appointment as Chief Executive Officer in June 2020. |
| 4 | Common | Common Stock, par value $0.0001 | 2019-12-23 | P | A | 72 | — | 203,170 | D | — | — | (F4) These shares were purchased in multiple transactions at prices ranging from $3.00 to $3.50, inclusive. |
| 5 | Common | Common Stock, par value $0.0001 | 2019-11-25 | P | A | 40 | $2.27 | 203,098 | D | — | — | |
| 6 | Common | Common Stock, par value $0.0001 | 2019-11-22 | P | A | 40 | $3.04 | 203,058 | D | — | — | |
| 7 | Common | Common Stock, par value $0.0001 | 2019-11-15 | P | A | 200 | $4.97 | 202,418 | D | — | — | (F1) On May 16, 2019, the Reporting Person filed a Form 4 reporting he owned 40,443,529 shares of Common Stock. In August 2019, the Issuer effected a 1 for 80 reverse stock split, and in June 2021, the Issuer effected a 1 for 2.5 reverse stock split. Following both of these reverse stock splits, the Reporting Person's 40,443,529 shares equaled 202,218 shares. |
| 8 | Common | Common Stock, par value $0.0001 | 2019-11-18 | P | A | 240 | — | 202,658 | D | — | — | (F2) These shares were purchased in multiple transactions at prices ranging from $3.67 to $4.37, inclusive. |
| 9 | Derivative | Stock Options (Right to buy) | 2021-09-13 | A | A | 100,000 | — | 100,000 | D | $4.59 · 2022-09-13 to 2026-09-12 | 100,000 Common Stock | (F8) Represents options granted to the Reporting Person pursuant to the Issuer's 2021 Equity Incentive Plan in connection with the Reporting Person's employment agreement. 50,000 options will vest on 09/13/2022, and 12,500 options will vest every three months thereafter. |
| 10 | Derivative | Restricted Stock Units | 2020-06-18 | A | A | 221,600 | — | 221,600 | D | — · 2021-06-30 to 2030-06-17 | 221,600 Common Stock | (F7) Each RSU represents the contingent right to receive one share of the Issuer's Common Stock. 27,700 RSUs vest on a quarterly basis with the first vesting date having been June 30, 2021. The RSUs were granted to the Reporting Person pursuant to the Issuer's 2017 Equity Incentive Plan. |