Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|
transaction | AUID | Common Stock | Purchase | $1.43M | +3.12M | +72.92% | $0.46 | 7.4M | May 26, 2023 | Direct | F6 |
transaction | AUID | Common Stock | Conversion of derivative security | $1.01M | +2.15M | +100.92% | $0.47 | 4.28M | May 26, 2023 | Direct | F7 |
transaction | AUID | Common Stock | Other | $24.4K | +60.3K | +2.92% | $0.40 | 2.13M | Apr 3, 2023 | Direct | F8 |
transaction | AUID | Common Stock | Other | $24.4K | +35.1K | +1.73% | $0.69 | 2.07M | Jan 3, 2023 | Direct | F8 |
transaction | AUID | Common Stock | Other | $24.4K | +8.19K | +0.4% | $2.98 | 2.03M | Sep 30, 2022 | Direct | F8 |
transaction | AUID | Common Stock | Purchase | $500K | +1.09M | +1222.43% | $0.46 | 1.18M | May 26, 2023 | See Footnotes | F1, F4 |
holding | AUID | Common Stock | 167K | Sep 30, 2022 | See Footnotes | F1, F2 | |||||
holding | AUID | Common Stock | 11.7K | Sep 30, 2022 | See Footnotes | F1, F3 |
Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Underlying Class | Amount | Exercise Price | Ownership | Footnotes |
---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
transaction | AUID | Convertible Note | Conversion of derivative security | -$1.01M | 0 | May 26, 2023 | Common Stock | 2.15M | $0.47 | Direct | F7 | |||
holding | AUID | Common Stock Purchase Warrant | 83.3K | Sep 30, 2022 | Common Stock | 83.3K | $4.50 | See footnotes | F1, F5 |
Id | Content |
---|---|
F1 | Stephen J. Garchik ("Mr. Garchik") disclaims beneficial ownership of any and all of the Issuer's securities reported herein in excess of its actual pecuniary interest. |
F2 | Held by the Garchik Irrevocable 2019 Trust (the "2019 Trust") of which Mr. Garchik is a trustee |
F3 | Held by Garchik Universal Limited Partnership, which Mr. Garchik jointly controls with his sister. |
F4 | Held by Marla Garchik Irrevocable 2020 Trust (the "2020 Trust") of which Mr. Garchik is a beneficiary. |
F5 | Held by the 2019 Trust. |
F6 | Includes the conversion of a promissory note in the amount of $929,250 and the investment of $500,000 in connection with the Issuer's private placement. |
F7 | On May 23, 2023, Mr. Garchik and the Company entered into an exchange agreement whereby Mr. Garchik exchanged the March 2022 Senior Secured Convertible Note in the amount of $1,014,625, which reflects principal and interest, for 2,149,629 shares of common stock at a per share price of $0.472. |
F8 | The reporting person received shares of common stock as payment of interest for each quarter associated with the Senior Secured Convertible Note dated March 21, 2022. |