Gruener Garrett's Form 4 filing
NANOMIX Corp (NNMX) · filed Dec 19, 2022
- Accession no.
- 0001213900-22-081085
- Filed
- Dec 19, 2022, 6:59 PM ET
- Trade date
- Apr 8-Dec 9, 2022
- Filing delay
- 255 daysLate
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 2 non-derivative transactions and 28 derivative transactions. Open-market purchases total $2.50K. It was filed 255 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 |
|---|---|---|---|---|---|---|---|---|
| Dec 9, 2022 | Common Stock | PPurchaseAcquired | +2,620 | $0.25 | +$655 | 25,178,958 | Direct | |
| Dec 9, 2022 | Common Stock | PPurchaseAcquired | +7,380 | $0.25 | +$1,845 | 25,186,338 | 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 |
|---|---|---|---|---|---|---|---|---|
| Apr 8, 2022 | Common Stock | PPurchaseAcquired | +378,573 | $444,444.00 | – | – | Direct | Price outlier |
| Apr 8, 2022 | Common Stock | PPurchaseAcquired | +568,974 | –F1 | – | 3,708,389 | Direct | |
| Apr 26, 2022 | Common Stock | PPurchaseAcquired | +141,965 | $166,667.00 | – | – | Direct | Price outlier |
| Apr 26, 2022 | Common Stock | PPurchaseAcquired | +213,366 | –F2 | – | 3,921,755 | Direct | |
| May 13, 2022 | Common Stock | PPurchaseAcquired | +141,965 | $166,667.00 | – | – | Direct | Price outlier |
| May 13, 2022 | Common Stock | PPurchaseAcquired | +213,366 | –F3 | – | 4,135,121 | Direct | |
| May 19, 2022 | Common Stock | PPurchaseAcquired | +14,196 | $16,667.00 | – | – | Direct | Price outlier |
| May 19, 2022 | Common Stock | PPurchaseAcquired | +21,337 | –F4 | – | 4,156,458 | Direct | |
| May 25, 2022 | Common Stock | PPurchaseAcquired | +179,822 | $211,111.00 | – | – | Direct | Price outlier |
| May 25, 2022 | Common Stock | PPurchaseAcquired | +270,263 | –F5 | – | 4,426,721 | Direct | |
| Jun 10, 2022 | Common Stock | PPurchaseAcquired | +146,697 | $172,222.00 | – | – | Direct | Price outlier |
| Jun 10, 2022 | Common Stock | PPurchaseAcquired | +220,478 | –F6 | – | 4,647,199 | Direct | |
| Jun 22, 2022 | Common Stock | PPurchaseAcquired | +165,636 | $194,444.00 | – | – | Direct | Price outlier |
| Jun 22, 2022 | Common Stock | PPurchaseAcquired | +248,927 | –F7 | – | 4,896,126 | Direct | |
| Jul 13, 2022 | Common Stock | PPurchaseAcquired | +165,636 | $194,444.00 | – | – | Direct | Price outlier |
| Jul 13, 2022 | Common Stock | PPurchaseAcquired | +248,927 | –F8 | – | 5,145,053 | Direct | |
| Jul 27, 2022 | Common Stock | PPurchaseAcquired | +479,216 | $555,556.00 | – | – | Direct | Price outlier |
| Jul 27, 2022 | Common Stock | PPurchaseAcquired | +711,218 | –F9 | – | 5,856,271 | Direct | |
| Aug 23, 2022 | Common Stock | PPurchaseAcquired | +479,216 | $555,556.00 | – | – | Direct | Price outlier |
| Aug 23, 2022 | Common Stock | PPurchaseAcquired | +711,218 | –F10 | – | 6,567,489 | Direct | |
| Sep 9, 2022 | Common Stock | PPurchaseAcquired | +236,608 | $277,778.00 | – | – | Direct | Price outlier |
| Sep 9, 2022 | Common Stock | PPurchaseAcquired | +355,609 | –F11 | – | 6,923,098 | Direct | |
| Oct 11, 2022 | Common Stock | PPurchaseAcquired | +236,608 | $277,778.00 | – | – | Direct | Price outlier |
| Oct 11, 2022 | Common Stock | PPurchaseAcquired | +355,609 | –F12 | – | 7,278,707 | Direct | |
| Nov 10, 2022 | Common Stock | PPurchaseAcquired | +236,608 | $277,778.00 | – | – | Direct | Price outlier |
| Nov 10, 2022 | Common Stock | PPurchaseAcquired | +355,610 | –F13 | – | 7,634,317 | Direct | |
| Nov 28, 2022 | Common Stock | PPurchaseAcquired | +141,965 | $166,667.00 | – | – | Direct | Price outlier |
| Nov 28, 2022 | Common Stock | PPurchaseAcquired | +213,366 | –F14 | – | 7,847,683 | 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 April 8, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $444,444 (the "4/8 Note") and (ii) a warrant to purchase 568,974 shares of the Issuer's common stock (the "4/8 Warrant") for an aggregate purchase price of $400,000. The 4/8 Note matures on April 8, 2024 unless earlier converted or extended as set forth in the 4/8 Note. The 4/8 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 4/8 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F2
On April 26, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "4/26 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "4/26 Warrant") for an aggregate purchase price of $150,000. The 4/26 Note matures on April 26, 2024 unless earlier converted or extended as set forth in the 4/26 Note. The 4/26 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 4/26 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F3
On May 13, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "5/13 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "5/13 Warrant") for an aggregate purchase price of $150,000. The 5/13 Note matures on May 13, 2024 unless earlier converted or extended as set forth in the 5/13 Note. The 5/13 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/13 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F4
On May 19, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $16,667 (the "5/19 Note") and (ii) a warrant to purchase 21,337 shares of the Issuer's common stock (the "5/19 Warrant") for an aggregate purchase price of $15,000. The 5/19 Note matures on May 19, 2024 unless earlier converted or extended as set forth in the 5/19 Note. The 5/19 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/19 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F5
On May 25, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $211,111 (the "5/25 Note") and (ii) a warrant to purchase 270,263 shares of the Issuer's common stock (the "5/25 Warrant") for an aggregate purchase price of $190,000. The 5/25 Note matures on May 25, 2024 unless earlier converted or extended as set forth in the 5/25 Note. The 5/25 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 5/25 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F6
On June 10, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $172,222 (the "6/10 Note") and (ii) a warrant to purchase 220,478 shares of the Issuer's common stock (the "6/10 Warrant") for an aggregate purchase price of $155,000. The 6/10 Note matures on June 10, 2024 unless earlier converted or extended as set forth in the 6/10 Note. The 6/10 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 6/10Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F7
On June 22, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $194,444 (the "6/22 Note") and (ii) a warrant to purchase 248,927 shares of the Issuer's common stock (the "6/22 Warrant") for an aggregate purchase price of $175,000. The 6/22 Note matures on June 22, 2024 unless earlier converted or extended as set forth in the 6/22 Note. The 6/22 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 6/22 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F8
On July 13, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $194,444 (the "7/13 Note") and (ii) a warrant to purchase 248,927 shares of the Issuer's common stock (the "7/13 Warrant") for an aggregate purchase price of $175,000. The 7/13 Note matures on July 13, 2024 unless earlier converted or extended as set forth in the 7/13 Note. The 7/13 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 7/13 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F9
On July 27, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $555,556 (the "7/27 Note") and (ii) a warrant to purchase 711,218 shares of the Issuer's common stock (the "7/27 Warrant") for an aggregate purchase price of $500,000. The 7/27 Note matures on July 27, 2024 unless earlier converted or extended as set forth in the 7/27 Note. The 7/27 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 7/27 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F10
On August 23, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $555,556 (the "8/23 Note") and (ii) a warrant to purchase 711,218 shares of the Issuer's common stock (the "8/23 Warrant") for an aggregate purchase price of $500,000. The 8/23 Note matures on August 23, 2024 unless earlier converted or extended as set forth in the 8/23 Note. The 8/23 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 8/23 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F11
On September 9, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "9/9 Note") and (ii) a warrant to purchase 355,609 shares of the Issuer's common stock (the "9/9 Warrant") for an aggregate purchase price of $250,000. The 9/9 Note matures on September 9, 2024 unless earlier converted or extended as set forth in the 9/9 Note. The 9/9 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 9/9 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F12
On October 11, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "10/11 Note") and (ii) a warrant to purchase 355,609 shares of the Issuer's common stock (the "10/11 Warrant") for an aggregate purchase price of $250,000. The 10/11 Note matures on October 11, 2024 unless earlier converted or extended as set forth in the 10/11 Note. The 10/11 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 10/11 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F13
On November 10, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $277,778 (the "11/10 Note") and (ii) a warrant to purchase 355,610 shares of the Issuer's common stock (the "11/10 Warrant") for an aggregate purchase price of $250,000. The 11/10 Note matures on November 10, 2024 unless earlier converted or extended as set forth in the 11/10 Note. The 11/10 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 11/10 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.
- F14
On November 28, 2022, the Reporting Person was issued (i) a senior secured convertible note of the Issuer for an aggregate principal amount of $166,667 (the "11/28 Note") and (ii) a warrant to purchase 213,366 shares of the Issuer's common stock (the "11/28 Warrant") for an aggregate purchase price of $150,000. The 11/28 Note matures on November 28, 2024 unless earlier converted or extended as set forth in the 11/28 Note. The 11/28 Note is convertible at any time, at the holder's option, into shares of the Issuer's common stock at the Conversion Price. The 11/28 Warrant is exercisable at any time, at the holder's option, into shares of the Issuer's common stock at the Exercise Price. At any time during the continuance of any Event of Default, the Conversion Price in effect shall, at the option of the Reporting Person, be equal to the Alternative Conversion Price.
Referenced by the price of 1 transaction in Table II.