Abri Ventures I, LLC - Aug 12, 2021 Form 4/A - Amendment Insider Report for Collective Audience, Inc. (CAUD)

Role
10%+ Owner
Signature
/s/ Jeffrey Tirman, Authorized Person of Abri Ventures I, LLC
Stock symbol
CAUD
Transactions as of
Aug 12, 2021
Transactions value $
$1,059,080
Form type
4/A - Amendment
Date filed
12/13/2023, 12:27 PM
Date Of Original Report
Sep 9, 2021
Previous filing
Aug 11, 2021
Next filing
Sep 9, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CAUD Common Stock Purchase $2.76M +276K +19.22% $10.00 1.71M Aug 12, 2021 Direct F1
transaction CAUD Common Stock Other $0 -4.02K -0.23% $0.00 1.71M Aug 23, 2021 Direct F2, F3
transaction CAUD Common Stock Purchase $183K +18.3K +1.07% $10.00 1.73M Aug 23, 2021 Direct F1
transaction CAUD Common Stock Sale -$809K -75K -4.34% $10.78 1.65M Apr 11, 2023 Direct F1
transaction CAUD Common Stock Sale -$1.08M -40K -2.42% $26.96 1.61M Nov 2, 2023 Direct F4

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction CAUD Warrants Purchase +276K 276K Aug 12, 2021 Common Stock 276K $11.50 Direct F1
transaction CAUD Warrants Purchase +295K 295K Aug 23, 2021 Common Stock 18.3K $11.50 Direct F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Reflects the purchase price for Units (the "Private Placement Units") consisting of one share of Common Stock and one warrant to purchase one share of Common Stock (the "Warrant") at a purchase price of $10.00 per Private Placement Unit pursuant to the Private Placement Unites Purchase Agreement dated August 10, 2021 entered into between the Issuer and the Reporting Person. No portion of the purchase price for the Private Placement Units was allocated to the Warrants.
F2 As contemplated in connection with the initial public offering of the Issuer, 4,020 shares of Common Stock of the Issuer were returned by the reporting person to the Issuer for no consideration and cancelled because the underwriters' over-allotment option was not exercised in full.
F3 Amended to correct Amount of Securities Beneficially Owned on August 23, 2021 included in column 5.
F4 Amounts reflect the imputed price based on the Nasdaq Official Closing Price of the Issuer's Common Stock as reported by Nasdaq on the trading day prior to the date reported as the transaction did not involve a cash payment.