Key facts
- This page summarizes Laing Rikkers's Form 4 filing for ProSomnus, Inc..
- 6 reported transactions and 6 derivative rows are listed below.
- Accepted by SEC: 21 Sep 2023, 21:03.
Laing Rikkers - 20 Sep 2023 Form 4 Insider Report for ProSomnus, Inc.
- Reporting relationship
- Director
- Issuer ticker
- N/A
- Reported as of
- 20 Sep 2023
- Net transaction value
- $0
- SEC form
- 4
- Accepted by SEC
- 21 Sep 2023, 21:03:21 UTC
- Prior SEC filing
- 02 Feb 2023
- Next SEC filing
- 18 Oct 2023
- Source filing
- View source filing
- Reporting owner signature
- /s/ Brian B. Dow, Attorney-in-fact
Source evidence
Original filing metadata and source links for verification.
5 source fields
Reporting owner
1 detail
Key filing fact
Laing Rikkers filed Form 4 for ProSomnus, Inc. on 21 Sep 2023.
Change
- Previous filing in this sequence was filed on 02 Feb 2023.
- 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
View source filing
Ownership activity is grounded in SEC Form 4 disclosures.
Reported derivative securities
Options, warrants, convertible securities, or similar derivative positions disclosed in the filing.
OSA
transaction
Derivative
Series A Preferred Stock
Award
- Transaction value
- Shares
- +25
- Change %
- Price
- Shares after
- 25
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $1.00
- Footnotes
- F1, F2, F3
OSA
transaction
Derivative
Warrants (right to buy)
Award
- Transaction value
- Shares
- +25,000
- Change %
- Price
- Shares after
- 25,000
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $1.00
- Footnotes
- F2, F3, F4
OSA
transaction
Derivative
Series A Preferred Stock
Award
- Transaction value
- Shares
- +25
- Change %
- Price
- Shares after
- 25
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $1.00
- Footnotes
- F1, F2, F5
OSA
transaction
Derivative
Warrants (right to buy)
Award
- Transaction value
- Shares
- +25,000
- Change %
- Price
- Shares after
- 25,000
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 25,000
- Exercise price
- $1.00
- Footnotes
- F2, F4, F5
OSA
transaction
Derivative
Series A Preferred Stock
Award
- Transaction value
- Shares
- +150
- Change %
- Price
- Shares after
- 150
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 150,000
- Exercise price
- $1.00
- Footnotes
- F1, F2, F6
OSA
transaction
Derivative
Warrants (right to buy)
Award
- Transaction value
- Shares
- +150,000
- Change %
- Price
- Shares after
- 150,000
- Date
- 20 Sep 2023
- Ownership
- See footnote
- Underlying class
- Common Stock
- Underlying amount
- 150,000
- Exercise price
- $1.00
- Footnotes
- F2, F4, F6
* marks a reported price that did not pass the local price check.
Additional SEC filing notes
Filing notes and footnotes
Explanation of responses 6 footnotes
Footnote F1
The Series A Preferred Stock is convertible (subject to certain conversion limitations prior to the Issuer obtaining stockholder approval of the transactions contemplated by the SPA) into Common Stock at the Reporting Person's election at $1 per share, which conversion price may be adjusted in accordance withe the terms of the Series A Preferred Stock, and has no expiration date.
Footnote F2
The Reporting Person acquired the shares and warrants pursuant to the terms of that certain Securities Purchase Agreement by and among the Issuer and the investors named therein, as disclosed in the Current Report on Form 8-K filed by the Issuer with the SEC on September 21, 2023 (the "SPA").
Footnote F3
Shares are held by Leander Swift Rikkers 2002 Trust for the benefit of the Reporting Person's child. The Reporting Person serves as trustee of this trust. The Reporting Person disclaims beneficial ownership of these shares to the extent that she does not have a pecuniary interest in them.
Footnote F4
The warrants become exercisable upon the Issuer obtaining shareholder approval of the transactions contemplated by the SPA.
Footnote F5
Shares are held by Laura Laing Rikkers 2004 Trust for the benefit of the Reporting Person's child. The Reporting Person serves as trustee of this trust. The Reporting Person disclaims beneficial ownership of these shares to the extent that she does not have a pecuniary interest in them.
Footnote F6
Shares are held by Trust U/A 4/29/83 fbo Laing F. Rikkers.