| Type | Sym | Class | Transaction | Value $ | Shares | Change % | * Price $ | Shares After | Date | Ownership | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|
| transaction | NUZE | Common Stock | Sale | -$5.9K | -800 | -0.6% | $7.37 | 134K | Sep 14, 2023 | Direct | F1, F2, F4, F6 |
| transaction | NUZE | Common Stock | Sale | -$8.8K | -1.2K | -0.89% | $7.33 | 134K | Sep 13, 2023 | Direct | F1, F3, F4, F7 |
| holding | NUZE | Common Stock | 405 | Sep 13, 2023 | See Footnote | F4, F5, F8 |
Buy Plan / Sale Plan: These are also open market purchases/sales of shares, but in this case the transaction is part of a trading plan. Rule 10b5-1 allows insiders to setup a trading plan to buy/sell stocks over a certain period of time. Since the purchases/sales are predetermined, this protects the insiders from violating insider trading law.
Transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c).
| Id | Content |
|---|---|
| F1 | Reflects the sale of shares of common stock by the reporting person pursuant to a Rule 10b5-1 Trading Plan adopted by the reporting person. |
| F2 | The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.05 to $7.59, inclusive. For all transactions reported in this Form 4/A utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. |
| F3 | The price reported in Column 4 is a weighted-average price. These shares were purchased in multiple transactions at prices ranging from $7.25 to $7.70, inclusive. For all transactions reported in this Form 4/A utilizing a weighted-average price, the reporting person will provide to the issuer, any security holder of the issuer, or the SEC staff, upon request, information regarding the number of shares purchased at each price within the range. |
| F4 | On December 28, 2022 the Issuer effected a 1-for 35 reverse stock split (the "Reverse Stock Split"). The number of securities reported on this Form 4/A have been adjusted to reflect the Reverse Stock Split. |
| F5 | The shares are beneficially owned by NuZee Co., Ltd. (an entity organized under the laws of Japan). The Reporting Person is the sole owner of NuZee Co., Ltd. |
| F6 | On September 15, 2023, the reporting person filed a Form 4 which inadvertently reported 133,558 as the Amount of Securities Beneficially Owned Following Reported Transaction. The correct Amount of Securities Beneficially Owned Following Reported Transaction is 133,559 shares of Common Stock. |
| F7 | On September 15, 2023, the reporting person filed a Form 4 which inadvertently reported 134,358 as the Amount of Securities Beneficially Owned Following Reported Transaction. The correct Amount of Securities Beneficially Owned Following Reported Transaction is 134,359 shares of Common Stock. |
| F8 | On September 15, 2023, the reporting person filed a Form 4 which inadvertently reported 382 as the Amount of Securities Beneficially Owned Following Reported Transaction. The correct Amount of Securities Beneficially Owned Following Reported Transaction is 405 shares of Common Stock. |
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