Mitchell E. Levinson - 09 Jun 2022 Form 4 Insider Report for Pulse Biosciences, Inc. (PLSE)

Role
Chief Strategy Officer, Director
Signature
/s/ Kenneth B. Stratton, as Attorney-in-Fact
Issuer symbol
PLSE
Transactions as of
09 Jun 2022
Net transactions value
$0
Form type
4
Filing time
10 Jun 2022, 18:58:54 UTC
Previous filing
24 Mar 2023
Next filing
11 Oct 2022
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security +10,935 +41% 37,504 09 Jun 2022 Direct F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security +814 +25% 4,135 09 Jun 2022 Spouse F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security +143 +24% 734 09 Jun 2022 Immediate family member F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security +143 +24% 734 09 Jun 2022 Immediate family member F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security +143 +24% 734 09 Jun 2022 Immediate family member F1, F2

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 PLSE Warrant (right to buy) Purchase +10,935 10,935 09 Jun 2022 Common Stock 10,935 $2.05 Direct F1, F2
transaction PLSE Warrant (right to buy) Purchase +814 814 09 Jun 2022 Common Stock 814 $2.05 Spouse F1, F2
transaction PLSE Warrant (right to buy) Purchase +143 143 09 Jun 2022 Common Stock 143 $2.05 Immediate family member F1, F2
transaction PLSE Warrant (right to buy) Purchase +143 143 09 Jun 2022 Common Stock 143 $2.05 Immediate family member F1, F2
transaction PLSE Warrant (right to buy) Purchase +143 143 09 Jun 2022 Common Stock 143 $2.05 Immediate family member F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
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.
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.