Robert W. Duggan - 07 Nov 2023 Form 4 Insider Report for Pulse Biosciences, Inc. (PLSE)

Role
Director, 10%+ Owner
Signature
/s/ Kenneth B. Stratton, as Attorney-in-Fact
Issuer symbol
PLSE
Transactions as of
07 Nov 2023
Net transactions value
+$78,927
Form type
4
Filing time
09 Nov 2023, 18:32:32 UTC
Previous filing
28 Aug 2023
Next filing
20 Nov 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction PLSE Common Stock Options Exercise $19,831 +3,333 +0.01% $5.95 36,236,624 07 Nov 2023 Direct
transaction PLSE Common Stock Options Exercise $59,095 +9,932 +0.03% $5.95 36,246,556 07 Nov 2023 Direct
holding PLSE Common Stock 492,069 07 Nov 2023 See footnote F1

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 Stock Option (right to buy) Options Exercise $0 -3,333 -22% $0.000000 11,667 07 Nov 2023 Common Stock 3,333 $5.95 Direct F2
transaction PLSE Stock Option (right to buy) Options Exercise $0 -9,932 -25% $0.000000 29,799 07 Nov 2023 Common Stock 9,932 $5.95 Direct F3
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.
F2 Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a monthly basis following the Company's last Annual Stockholder Meeting.
F3 Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vests on a quarterly basis following the Company's last Annual Stockholder Meeting.