Harold Jack Winner - 24 Jan 2023 Form 4 Insider Report for BayFirst Financial Corp. (BAFN)

Reporting relationship: Director
Issuer ticker: BAFN
Reported as of: 24 Jan 2023
Net transaction value: $0
SEC form: 4
Accepted by SEC: 25 Jan 2023, 15:04:45 UTC
Prior SEC filing: 19 Dec 2022
Source filing: View source filing
Reporting owner signature: /s/ Barbara Felts, Attorney-in-fact

Key filing fact

Harold Jack Winner filed Form 4 for BayFirst Financial Corp. (BAFN) on 25 Jan 2023.

Key facts

This page summarizes Harold Jack Winner's Form 4 filing for BayFirst Financial Corp. (BAFN).
0 reported transactions and 6 derivative rows are listed below.
Accepted by SEC: 25 Jan 2023, 15:04.

Change

Previous filing in this sequence was filed on 19 Dec 2022.
Current net transaction value: $0.

Research use

This tells you what this filing adds before you inspect full transaction and derivative tables.
You can trace every row back to the original SEC filing document.

Evidence

Filed on Form 4

Ownership activity is grounded in SEC Form 4 disclosures.

View source filing

Reported non-derivative transactions

Shares, units, or other non-derivative securities reported in this filing.

BAFN holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 49,485
Date: 24 Jan 2023
Ownership: Direct

BAFN holding

Common Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 2,300
Date: 24 Jan 2023
Ownership: Winner Family Living Trust UTD 6-13-18

Reported derivative securities

Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.

BAFN holding Derivative

Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 5,100
Date: 24 Jan 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,100
Exercise price: $14.67
Footnotes: F1

BAFN holding Derivative

Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 5,250
Date: 24 Jan 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,250
Exercise price: $15.67
Footnotes: F2

BAFN holding Derivative

Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 8,100
Date: 24 Jan 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 8,100
Exercise price: $17.33
Footnotes: F3

BAFN holding Derivative

Option (Right to Buy)

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 5,250
Date: 24 Jan 2023
Ownership: Direct
Underlying class: Common Stock
Underlying amount: 5,250
Exercise price: $14.67
Footnotes: F4

BAFN holding Derivative

Series B Convertible Preferred Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 130
Date: 24 Jan 2023
Ownership: Winner Family Living Trust UTD 6-13-18
Underlying class: Common Stock
Underlying amount: 130
Exercise price
Footnotes: F5

BAFN holding Derivative

Series B Convertible Preferred Stock

No transaction description listed

Transaction value
Shares
Change %
Price
Shares after: 100
Date: 24 Jan 2023
Ownership: Winner Family Living Trust UTD 6-13-18
Underlying class: Common Stock
Underlying amount: 100
Exercise price
Footnotes: F5

^* marks a reported price that did not pass the local price check.

Additional SEC filing notes

Filing notes and footnotes

Section 16 status

Harold Jack Winner is no longer subject to Section 16 filing requirements. Form 4 or Form 5 obligations may still apply in specific circumstances.

Explanation of responses 5 footnotes

Footnote F1

These options vest in three equal annual installments beginning one year after the 1/14/2021 date of grant.

Footnote F2

These options vest in three equal annual installments beginning one year after the 1/15/2020 date of grant.

Footnote F3

These options vest in three equal annual installments beginning one year after the 6/12/2018 date of grant.

Footnote F4

These options vest in three equal annual installments beginning one year after the 3/15/2019 date of grant.

Footnote F5

The holders of shares of Series B Convertible Preferred Stock have the right to convert such shares into shares of common stock at a conversion ratio equal to the quotient of: (i) the $1,000 liquidation preference; divided by (ii) the tangible book value per share of common stock, calculated on the basis of BayFirst Financial Corp.s financial statements, as of the last day of the calendar quarter occurring prior to the date on which a holder exercises the conversion right; provided, however, that tangible book value shall be adjusted to reflect a subsequent quarter end only on the last day of the month succeeding such quarter end.

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