Mitchell E. Levinson - Sep 24, 2024 Form 4 Insider Report for PULSE BIOSCIENCES, INC. (PLSE)

Role
Chief Strategy Officer
Signature
/s/ Kenneth B. Stratton, as Attorney-in-Fact
Stock symbol
PLSE
Transactions as of
Sep 24, 2024
Transactions value $
$57,266
Form type
4
Date filed
9/30/2024, 07:38 PM
Previous filing
Jul 8, 2024

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 $33K +3K +3.3% $11.00 93.9K Sep 24, 2024 Direct F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security $13.6K +1.24K +6.2% $11.00 21.2K Sep 24, 2024 Spouse F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security $3.54K +322 +4.03% $11.00 8.32K Sep 24, 2024 Immediate Family Member 1 F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security $3.54K +322 +3.98% $11.00 8.42K Sep 24, 2024 Immediate Family Member 2 F1, F2
transaction PLSE Common Stock Exercise of in-the-money or at-the-money derivative security $3.54K +322 +3.93% $11.00 8.52K Sep 24, 2024 Immediate Family Member 3 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) Exercise of in-the-money or at-the-money derivative security -1.5K -100% 0 Sep 24, 2024 Common Stock 1.5K $11.00 Direct F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -1.5K -100% 0 Sep 24, 2024 Common Stock 1.5K $11.00 Direct F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -620 -99.84% 1 Sep 24, 2024 Common Stock 620 $11.00 Spouse F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -620 -99.84% 1 Sep 24, 2024 Common Stock 620 $11.00 Spouse F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 1 F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 1 F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 2 F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 2 F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 3 F1, F2
transaction PLSE Warrant (right to buy) Exercise of in-the-money or at-the-money derivative security -161 -100% 0 Sep 24, 2024 Common Stock 161 $11.00 Immediate Family Member 3 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 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 $10.00 per unit, with each unit consisting of one share of common stock and two warrants each to purchase one half share of common stock at an exercise price of $11.00 per whole share. The warrants differ only in their redemption provisions.