Robert W. Duggan - 04 Dec 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
04 Dec 2023
Net transactions value
+$710,359
Form type
4
Filing time
06 Dec 2023, 19:54:50 UTC
Previous filing
05 Dec 2023
Next filing
07 Dec 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 $213,200 +20,000 +0.05% $10.66 36,571,461 04 Dec 2023 Direct
transaction PLSE Common Stock Options Exercise $216,899 +20,347 +0.06% $10.66 36,591,808 04 Dec 2023 Direct
transaction PLSE Common Stock Purchase $280,260 +27,000 +10% $10.38 285,544 04 Dec 2023 See footnote F1, F2
holding PLSE Common Stock 492,069 04 Dec 2023 See footnote F3

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 -20,000 -100% $0.000000* 0 04 Dec 2023 Common Stock 20,000 $10.66 Direct F4
transaction PLSE Stock Option (right to buy) Options Exercise $0 -20,347 -100% $0.000000* 0 04 Dec 2023 Common Stock 20,347 $10.66 Direct F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 Volume-weighted average price.
F2 Shares are held by Blazon Corporation, of which the Reporting Person is the majority shareholder.
F3 Shares are held by Genius Inc., of which the Reporting Person is the sole shareholder.
F4 Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a monthly basis following the Company's 2020 Annual Stockholder Meeting.
F5 Pursuant to the Company's Amended and Restated Outside Director Compensation Policy, this option vested on a quarterly basis following the Company's 2020 Annual Stockholder Meeting.