Gruener Garrett's Form 4 filing
NANOMIX Corp (NNMX) · filed Sep 21, 2022
- Accession no.
- 0001213900-22-057608
- Filed
- Sep 21, 2022, 12:09 PM ET
- Trade date
- Jun 25, 2021-Aug 22, 2022
- Filing delay
- 453 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 5 non-derivative transactions and 4 derivative transactions. Open-market purchases total $6.35K. It was filed 453 days after the trade, past the 2-business-day deadline.
Reporting owners
A Form 4 can have several reporting owners, such as a person and a fund they control. Trade tables show the first one.
| Owner | Relationship to the company |
|---|---|
| Gruener GarrettCIK 0001106287 | Director, 10% Owner |
Non-derivative securities (Table I)
Acquisitions and disposals of common stock and similar shares, one row per line on the filing.
| Trade date | Security | Transaction | Shares | Price | Value | Shares after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Mar 2, 2022 | Common Stock | CConversionAcquired | +25,160,338 | –F3 | – | 25,160,338 | Direct | |
| Aug 18, 2022 | Common Stock | PPurchaseAcquired | +32 | $0.57 | +$18.24 | 25,160,370 | Direct | |
| Aug 19, 2022 | Common Stock | PPurchaseAcquired | +2,968 | $0.40 | +$1,187.2 | 25,163,306 | Direct | |
| Aug 22, 2022 | Common Stock | PPurchaseAcquired | +1,500 | $0.36 | +$540 | 25,174,838 | Direct | |
| Aug 22, 2022 | Common Stock | PPurchaseAcquired | +11,500 | $0.40 | +$4,600 | 25,176,338 | Direct |
Derivative securities (Table II)
Options, warrants, restricted stock units and similar. Shares are the underlying shares; price and value are for the derivative itself, and the holding after is in derivative units.
| Trade date | Security | Transaction | Underlying shares | Unit price | Value | Held after | Ownership | Flags |
|---|---|---|---|---|---|---|---|---|
| Jun 25, 2021 | Common Stock | JOtherAcquired | +134,771,261 | $1,603,778.00 | – | – | Direct | Price outlier |
| Jun 25, 2021 | Common Stock | JOtherAcquired | +134,771,261 | –F1 | – | 134,771,261 | Direct | |
| Feb 28, 2022 | Common Stock | PPurchaseAcquired | +37,348,235 | $444,444.00 | – | – | Direct | Price outlier |
| Feb 28, 2022 | Common Stock | PPurchaseAcquired | +37,348,235 | –F2 | – | 172,119,496 | Direct |
Footnotes and remarks
Livermore keeps the footnotes that transaction prices refer to, all footnotes of amendments (Form 4/A) and the filing's remarks. Other footnotes, such as how indirect holdings are held or the details of a trading plan, are only in the original on SEC EDGAR.
- F1
On June 25, 2021, Reporting Person exchanged a promissory note in the principal amount of $1,603,778 for (i) a senior secured convertible note for an aggregate principal amount of $1,603,778 (the "June 2021 Note") and (ii) a warrant to purchase 134,771,261 shares of the Issuer's common stock (the "June 2021 Warrant"). The June 2021 Note matures on June 25, 2023. The June 2021 Note is convertible at any time into shares of the Issuer's common stock equal to $0.0119 (the "Conversion Price"). The June 2021 Warrant is exercisable at any time into shares of common stock equal to $0.0119 (the "Exercise Price"). On March 2, 2022, the Conversion Price and Exercise Price were adjusted to $2.0587 upon consummation of the Issuer's previously announced reverse split. The Conversion Price and Exercise Price were again amended to $1.1717 in March 2022. At any time during any Event of Default, the Conversion Price in effect may be equal to the Alternative Conversion Price (as defined in the Note).
Referenced by the price of 1 transaction in Table II.
- F2
On February 28, 2022, Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $444,444 (the "February 2022 Note") and (ii) a warrant to purchase 37,348,235 shares of the Issuer's common stock (the "February 2022 Warrant") for an aggregate purchase price of $400,000. The February 2022 Note matures on February 28, 2024. The February 2022 Note is convertible at any time into shares of the Issuer's common stock at the Conversion Price. The June 2021 Warrant is exercisable at any time into shares of the Issuer's common stock at the Exercise Price. On March 2, 2022, the Conversion Price and Exercise Price were adjusted to $2.0587 upon consummation of the Issuer's previously announced reverse split. The Conversion Price and Exercise Price were again amended to $1.1717 in March 2022. At any time during the continuance of any Event of Default, the Conversion Price in effect may be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F3
On March 2, 2022, the Reporting Person's Series C Preferred Stock automatically converted into an aggregate of 25,160,338 shares of the Issuer's common stock upon consummation of the Issuer's previously announced reverse stock split.
Referenced by the price of 1 transaction in Table I.