Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | PROP | Common Stock | Purchase | $623K | +204K | +35.87% | $3.05 | 774K | Sep 7, 2023 | By James W. Wallis LivingTrust | F1, F2 |
transaction | PROP | Common Stock | Sale | -$208K | -68.1K | -8.8% | $3.05 | 706K | Oct 10, 2023 | By James W. Wallis Living Trust | F2, F3 |
transaction | PROP | Common Stock | Exercise of in-the-money or at-the-money derivative security | $382K | +63.7K | +9.02% | $6.00 | 770K | May 1, 2024 | By James W Wallis Living Trust | F2 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | PROP | Series D Convertible Preferred Stock | Purchase | $1.46K | +478 | $3.05 | 478 | Sep 7, 2023 | Common Stock | 95.6K | $5.00 | By: James W. Wallis Living Trust | F1, F2, F4 | |
transaction | PROP | Series A Warrants | Purchase | $292K | +95.6K | $3.05 | 95.6K | Sep 7, 2023 | Common Stock | 95.6K | $6.00 | By: James W. Wallis Living Trust | F1, F2 | |
transaction | PROP | Series B Warrants | Purchase | $292K | +95.6K | $3.05 | 95.6K | Sep 7, 2023 | Common Stock | 95.6K | $6.00 | By: James W. Wallis Living Trust | F1, F2 | |
transaction | PROP | Series D Convertible Preferred Stock | Sale | -$486 | -159 | -33.33% | $3.05 | 319 | Oct 10, 2023 | Common Stock | 31.9K | $5.00 | By: James W. Wallis Living Trust | F2, F3, F4 |
transaction | PROP | Series A Warrants | Sale | -$97.2K | -31.9K | -33.33% | $3.05 | 63.7K | Oct 10, 2023 | Common Stock | 31.9K | $6.00 | By: James W. Wallis Living Trust | F2, F3 |
transaction | PROP | Series B Warrants | Sale | -$97.2K | -31.9K | -33.33% | $3.05 | 63.7K | Oct 10, 2023 | Common Stock | 31.9K | $6.00 | By: James W. Wallis Living Trust | F2, F3 |
transaction | PROP | Series B Warrants | Exercise of in-the-money or at-the-money derivative security | $0 | -63.7K | -100% | $0.00 | 0 | May 1, 2024 | Common Stock | 63.7K | $6.00 | By: James W. Wallis Living Trust | F2 |
James W. Wallis is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may continue.
Id | Content |
---|---|
F1 | On September 7, 2023, the Reporting Person Purchased for a purchase price of $1.5 million, the following securities: 204,222 shares of Common Stock; 477.89 shares of Series D Convertible Preferred Stock; 95,578 Series A Warrants; and 95,578 Series B Warrants. The values of the aforementioned securities were adjusted to reflect the reverse stock split that occurred on October 16, 2023. |
F2 | On October 16, 2023, the issuer effected a reverse stock split of the outstanding shares of the issuer's common stock at an exchange ratio of 1:28.5714286. All security amounts and conversion prices have been adjusted to reflect this reverse stock split. |
F3 | On October 10, 2023, the Reporting Person sold for $500,000, the following securities: 68,134 shares of Common Stock; 159.30 shares of Series D Convertible Preferred Stock; 31,860 Series A Warrants; and 31,860 Series B Warrants. |
F4 | The shares of Series D Convertible Preferred Stock have no expiration date. |