Ernest K.F. Lum - Nov 22, 2021 Form 4 Insider Report for Lux Amber, Corp. (LXAM)

Role
Director, 10%+ Owner
Signature
Ernest K.F. Lum
Stock symbol
LXAM
Transactions as of
Nov 22, 2021
Transactions value $
-$20,750
Form type
4
Date filed
11/16/2022, 10:54 AM

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction LXAM Common Stock Options Exercise $37.5K +150K +3.4% $0.25* 4.56M Jan 10, 2022 Direct
transaction LXAM Common Stock Options Exercise $7.5K +30K +0.66% $0.25* 4.59M Jan 10, 2022 Direct
transaction LXAM Common Stock Options Exercise $0 +50K +1.09% $0.00 4.64M Jul 18, 2022 Direct
transaction LXAM Common Stock Options Exercise $2.5K +250K +5.39% $0.01* 4.89M Jul 18, 2022 Direct
transaction LXAM Common Stock Options Exercise $27K +1M +20.45% $0.03* 5.89M Jul 21, 2022 Direct
transaction LXAM Common Stock Sale -$95.3K -127K -2.16% $0.75* 5.76M Nov 8, 2022 Direct
transaction LXAM Common Stock Other $0 +176K +3.05% $0.00 5.94M Nov 16, 2022 Direct F5, F6

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 LXAM Common Stock purchase options Award $0 +50K +16.67% $0.00 350K Nov 22, 2021 Common Stock 50K $0.25 Direct F1
transaction LXAM Common Stock purchase options Award $0 +150K +42.86% $0.00 500K Dec 1, 2021 Common Stock 150K $0.25 Direct F2
transaction LXAM Common Stock purchase options Award $0 +30K +6% $0.00 530K Dec 22, 2021 Common Stock 30K $0.25 Direct F3
transaction LXAM Common Stock purchase options Options Exercise $0 -150K -28.3% $0.00 380K Jan 10, 2022 Common Stock 150K $0.25 Direct
transaction LXAM Common Stock purchase options Options Exercise $0 -30K -7.89% $0.00 350K Jan 10, 2022 Common Stock 30K $0.25 Direct
transaction LXAM Common Stock purchase options Options Exercise $0 -50K -3.7% $0.00 1.3M Jul 18, 2022 Common Stock 50K $0.00 Direct
transaction LXAM Common Stock purchase options Options Exercise $0 -250K -19.23% $0.00 1.05M Jul 18, 2022 Common Stock 250K $0.01 Direct
transaction LXAM Common Stock purchase options Award $0 +1M +285.71% $0.00 1.35M Jul 10, 2022 Common Stock 1M $0.03 Direct F4
transaction LXAM Common Stock purchase options Options Exercise $0 -1M -95.24% $0.00 50K Jul 21, 2022 Common Stock 1M $0.03 Direct
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 100% vested on the date of grant
F2 100% vested on the date of grant
F3 100% vested on the date of grant
F4 100% vested on the date of grant
F5 Pursuant to the beneficial ownership rules, these shares are deemed owned by Ernest Lum, by attribution from his daughter, who lives with him. The shares are held in the daughter's name, and were originally acquired by her via conversion of derivative securities.
F6 Reference the footnote immediately above