Uecker Darrin's Form 4 filing
Pulse Biosciences, Inc. (PLSE) · filed Jun 10, 2022
- Accession no.
- 0001387131-22-006921
- Filed
- Jun 10, 2022
- Trade date
- Jun 9, 2022
- Filing delay
- 1 day
- Rule 10b5-1 plan
- Not on the form (before 2023)
This filing lists 1 non-derivative transaction and 1 derivative transaction. It was filed 1 day after the trade.
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 |
|---|---|
| Uecker DarrinCIK 0001276311 | Director |
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 |
|---|---|---|---|---|---|---|---|---|
| Jun 9, 2022 | Common Stock | XIn-the-money exerciseAcquired | +7,365 | –F2 | – | 137,376 | 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 9, 2022 | Common Stock | PPurchaseAcquired | +7,365 | –F1 | – | 7,365 | 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
The Reporting Person acquired the shares of common stock and the warrants pursuant to the exercise of subscription rights in connection with the Issuer's previously announced rights offering (the "Rights Offering"), as disclosed in the Registration Statement on Form S-3, as amended, and the Prospectus Supplement and certain Current Reports on Form 8-K filed by the Issuer with the SEC.
Referenced by the price of 1 transaction in Table II.
- F2
Pursuant to the terms of the Rights Offering, the Reporting Person purchased units at a price of $2.05 per unit, with each unit consisting of one share of common stock and a warrant to purchase one share of common stock at an exercise price of $2.05.
Referenced by the price of 1 transaction in Table I.