Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
holding | AUID | Common Stock, $.0001 par value | 173K | Nov 5, 2021 | Direct | F1 | |||||
holding | AUID | Common Stock, $.0001 par value | 341K | Nov 5, 2021 | See footnote | F2 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | AUID | Stock Options | Disposed to Issuer | -200K | -33.97% | 389K | Nov 5, 2021 | Common Stock, $0.0001 par value per share | 389K | $7.20 | Direct | F3 | ||
holding | AUID | Warrants | 31K | Nov 5, 2021 | Common Stock, $0.0001 par value per share | 31K | $4.50 | See Footnotes | F2 | |||||
holding | AUID | Stock Options | 556K | Nov 5, 2021 | Common Stock, $0.0001 par value per share | 556K | $2.10 | Direct | ||||||
holding | AUID | Warrants | 11.7K | Nov 5, 2021 | Common Stock, $0.0001 par value per share | 11.7K | $4.95 | Direct | ||||||
holding | AUID | Warrants | 8.75K | Nov 5, 2021 | Common Stock, $0.0001 par value per share | 8.75K | $2.64 | Direct |
Id | Content |
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F1 | Includes the right to acquire 50,000 shares of common stock at par value subject to the certain vesting criteria granted to Mr. Broenniman on March 6, 2020 pursuant to a Restricted Stock Purchase Agreement. |
F2 | Mr. Broenniman is the Managing Partner of Varana Capital, LLC ("Varana Capital"), which, in turn, is the investment manager of and has dispositive control over the shares held by Varana Capital Focused, LP ("VCFLP"). By virtue of these relationships, in addition to the shares he holds personally, Mr. Broenniman may be deemed to beneficially own the shares held by Varana Capital Focused, LP. |
F3 | On November 5, 2021, the Company and Mr. Broenniman entered into a letter agreement pursuant to which Mr. Broenniman agreed to cancel 200,000 shares of common stock under the Non-Statutory Option dated May 5, 2021 in consideration of removing certain service conditions. |